‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInSEC Enforcement Action and Report a Warning Shot to Municipalities on Disclosures – Compliance Week
Last week’s enforcement action against the City of Harrisburg, Pa., and accompanying Report of Investigation should serve as a warning to municipalities: beware making misleading statements about a municipality’s financial condition outside of securities disclosure documents. via SEC Enforcement Action and Report a Warning Shot to Municipalities on Disclosures – Compliance Week
US SEC may rebuke Lehman rather than sue
Agency may publish 21(a) report outlining allegations of misconduct without imposing penalties.