SEC Rule 15c2-12 – Reasonable Diligence and Issuer-Focused Disclosure Management Five Years Post MCDC Settlements

Featuring Gregg L. Bienstock, Kimberly D. Margini & William C. Rhodes

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. Panel participants are Gregg Bienstock, CEO Lumesis, Kim Magrini (Partner, Ballard Spahr), and Bill Rhodes (Partner, Ballard Spahr).

Key Takeways:

  • The Regulatory Backdrop and MCDC Takeaways
  • Subsequent Enforcement Actions
  • Observations, Takeaways and Best Practices

Webinar Panelists

Gregg L. Bienstock, CEO & Co-Founder of Lumesis

Gregg L. Bienstock

CEO & Founder
Lumesis Inc.

Gregg is the CEO and a Co-Founder of Lumesis. He is a frequent speaker on the municipal market and has authored several articles on current regulatory issues impacting the municipal market. Prior to Lumesis, Gregg spent more than thirteen years with Ambac Financial Group where, most recently, he was responsible for Strategic Initiatives and previously served as Chief Administrative Officer and Employment Counsel. 

Kimberly D. Margrini, Partner at Ballard Spahr

Kimberly D. Margini

Ballard Spahr

Kimberly D. Magrini serves as counsel to investment banking firms and investors, municipalities, issuers, and trustees in all types of public finance and municipal securities transactions. Her experience also includes representing a variety of 501(c)(3) organizations, including hospitals and other health care organizations, colleges and universities, private and charter schools, and museums.

William C. Rhodes

Ballard Spahr

William C. Rhodes leads the firm’s Education Industry Group and its Municipal Recovery Initiative. Bill regularly represents issuers, broker-dealers, and investors in all areas of public finance, with an emphasis on the offering of high-yield (unrated) municipal securities.

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