SEC's Continuing Disclosure Initiative
04.11.2014
Hawkins Advisory
Hawkins Advisory
The SEC’s Division of Enforcement has announced an Initiative to recommend “favorable settlement terms” for issuers and underwriters that “self-report to the Division possible violations involving materially inaccurate statements relating to prior compliance with the continuing disclosure obligations specified in Rule 15c2-12.” This Advisory summarizes and analyses the Initiative.
Attachment: [Hawkins Advisory]
Also of Interest
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Hawkins Delafield & Wood LLP is pleased to announce the election of Alexis Harrington to the partnership, effective January 1, 2019. - Hawkins Counsel to the 2018 Northeast Deal of the Year
The Authority’s transaction marks the 20th Deal of the Year transaction that Hawkins has participated in the last 16 years. - Rule 15c2-12 Compliance Alert
This edition of the Hawkins Advisory is a compliance alert, supplementing the Hawkins Advisory regarding Rule 15c2-12 that is dated August 22, 2018. - Hawkins Attorneys Featured at Bond Attorneys’ Workshop
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