Securities Law and Disclosure
Advises on developments in federal securities laws and produces organizational content pertaining to securities laws and disclosure practices in the municipal securities market.
Latest from the Committee
Joint Response to ABS Conflicts of Interests Proposal
Comments submitted by a NABL-led coalition in response to the SEC’s request for comments on its proposed rule “Prohibition Against Conflicts of Interest in Certain Securitizations.”
Roundtable on FDTA
Member-exclusive webinar and open discussion on the Financial Data Transparency Act (FDTA).
DIG Letter on Section 203 of the Financial Data Transparency Act (FDTA)
Coalition letter from the Disclosure Industry Group (DIG), including NABL, that outlines various concerns pertaining to Section 203 of the Financial Data Transparency Act (FDTA).
Congratulations to Commissioners Lizárraga and Uyeda
Letter congratulating Commissioners Jaime Lizárraga and Mark Uyeda on their recent Senate confirmations to serve on the U.S. Securities and Exchange Commission (SEC).
Brandon C. Pond
Salt Lake City, UT
Rebecca S. Lawrence
D.A. Davidson & Co.
Drew M. Slone
Locke Lord LLP
JoLinda L. Herring
Bryant Miller Olive P.A
Current Committee Projects
Best Practices Paper for Risk Factors Disclosure
A paper to discuss, among other items, various topics of disclosure including revenue and conduit revenue bonds as well as new cyber, climate, and COVID-19 related risks. The paper could…
Forward Delivery Bonds FAQ
The Securities Law and Disclosure Committee (SLDC) is working on a frequently asked questions (FAQ) document covering the basic mechanics of a forward delivery; documentation requirements and best practices of…
Updates to the Model CDA
The Securities Law and Disclosure Committee (SLDC) is working to update our Model Continuing Disclosure Agreement (CDA).