Municipal Securities Enforcement: Learning from Others' Mistakes - Houston

Haynes and Boone, LLP
1221 McKinney Street
Suite 2100
Houston, TX 77010

See the final presentation here.

Haynes and Boone, LLP is pleased to present Municipal Securities Enforcement: Learning from Others' Mistakes in Houston, TX on September 13.

The SEC has increased its scrutiny of the municipal bond market over the past two years and aggressively pursued enforcement actions against issuers and underwriters alike. Those actions involve fraud allegations against municipal issuers, including cities, school districts, and even states, for false and misleading statements about the issuer's financial condition or use of bond proceeds. Many of those actions also charged government officials and employees for their roles in the bond offerings. Additionally, the SEC instituted actions between June 2015 and February 2016 against a staggering 72 underwriters who comprise approximately 96 percent of the market share for municipal underwritings.

Join Haynes and Boone for a program discussing recent enforcement actions, recommended steps for protecting against potential problems and strategies for navigating government investigations. Presented by lawyers who focus on public finance, government investigations and internal investigations. The program will address:

  • Recent SEC enforcement actions and what we can learn from others' mistakes 
  • Responding to investigations and defending enforcement actions by the SEC, the MSRB and FINRA 
  • Strengthening accounting, offering and continuing disclosure policies 
  • Improving underwriter due diligence practices 
  • Establishing effective compliance policies and procedures 

Tuesday, September 13, 2016
11:30 a.m. - 1:30 p.m.
11:30 a.m. Registration and Lunch
12:00 p.m. Program


An application for accreditation of this program is currently pending for Texas.

Validated parking is available in the 2 Houston Center and 4 Houston Center garages.

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