Area investments advisors, registered representatives, and trust officers are invited to join Miller Canfield lawyer Patrick F. McGow at the next Before the Bell Breakfast Forum taking a look at "SEC Municipal Securities Enforcement."
McGow will be discussing recent SEC enforcement actions in the municipal securities arena. This will include a discussion of the SEC's authority to regulate municipal securities, the SEC's Municipalities Continuing Disclosure Cooperation (MCDC) initiative and recent announcements of settlements against broker-dealers as part of the MCDC initiative. This will also include discussion of recent enforcement actions against governmental entities, municipal officials, broker-dealers and underwriting firms.
The forum will take place on Thursday, Nov. 12, from 7:15 to 8:30 a.m. at the Townsend Hotel in Birmingham. Advance registration is required. There is no cost to attend. To register, visit www.millercanfield.com and click on "events." For additional information, contact Sandy Bera at 248-267-3345.
Published: Mon, Nov 02, 2015
