Hawkins Attorneys are part of NABL’s SEC Rule 15c2-12 Working Group


Hawkins Partners Brian Garzione, Carol McCoog and Kenneth Roberts were part of the National Association of Bond Lawyers working group, that released the paper titled “SEC Rule 15c2-12 Amendments NABL Member Questions and Practical Considerations”. The amendments to SEC Rule 15c2-12, which were effective February 27, 2019, include two additional required event disclosures related to financial obligations of municipal securities issuers and obligated persons.  The 21-page paper summarizes questions submitted by the NABL Securities Law and Disclosure Committee to the staff of the SEC's Office of Municipal Securities, and attempts to offer useful considerations for NABL members as they work with their clients to develop approaches to comply with the amended rule.

For more information please visit the NABL member website or read the Hawkins Advisory edition on the Implementing the Rule 15c2-12 Amendments.