SEC Rule 15c2-12

Join Lumesis & Ballard Spahr for a live, complimentary webinar to revisit SEC Rule 15c2-12 – Reasonable Diligence and Issuer-Focused Disclosure Management five years post MCDC Settlements.

Budget season is always interesting as organizations look to their crystal balls to set goals for the coming year which inevitably includes the arduous task of resource management.

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Only about 2.5% of municipalities have filed coronavirus-related continuing disclosures due to uncertainty of how the pandemic will unfold.

As COVID-19 batters cities, an overhanging question in public finance is whether the crisis can elicit more efficient governing post-pandemic. Challenges amid severe budget strains include rebuilding tax bases, restoring business confidence, closing gaps between the rich and poor, and smarter municipal management overall.

Lumesis, home of the DIVER Underwriter platform, has announced that, effective immediately, it’s SEC Rule 15c2-12 pre-bid diligence for competitive deals will include a review of whether the POS includes language regarding COVID-19.

There have been important developments and discussions over the past few years about Securities and Exchange Commission Rule 15c2-12. First it was the Municipal Continuing Disclosure Cooperation Initiative, and then amendments to 15c2-12 itself.