Publications

SEC's Continuing Disclosure Initiative

04.11.2014
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]

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