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Online Resource Database

Most resources in the ORD are available to CDFA members only. CDFA members should login with their CDFA Account at the top of the page to access the full set of resources. Non-members are encouraged to join CDFA today to gain access to the entire database.

Search Results: U.S. Securities and Exchange Commission (SEC)
Displaying 1 - 34 of 34 Previous | Next | New Search
SEC Fiscal Year 2019 Agency Financial ReportMembers only Login
This report details several notable SEC accomplishments in Fiscal Year (FY) 2019. This year’s Agency Financial Report also includes the results of the independent audit of the SEC's FY 2019 financial statements.
CDFA - PFM Capital Markets Webinar Series: Regulatory Landscape with MSRB and SEC FrameworkMembers only Login
This session discussed the recent amendments and how to prepare. The discussion included insights and reminders about how to remain compliant in all areas from main regulatory bodies for bond financing in the capital markets. Speakers on this...
A Guide to Regulation A+Members only Login
McGuireWoods' white paper explains how the SEC's Regulation A+ works and provides practical considerations to be taken into account in deciding whether to pursue this approach.
Post-Issuance Compliance and the SECMembers only Login
Alexandra MacLennan gives a deep dive on the critical components of post-issuance compliance and the role of the SEC.
CDFA // BNY Mellon Webcast Series: Mastering Disclosure in a Post-MCDC WorldMembers only Login
In this CDFA // BNY Mellon Development Finance Webcast, representatives from Katten Muchin Rosenman LLP and BLX Group covered hot topics in regulations and enforcement.
Disclosure by Municipal IssuersMembers only Login
This Hawkins Advisory describes rules governing the required disclosures by issuers and underwriters of findings and conclusions of certain third-party due diligence reports relating to asset-backed securities.
Opportunities in Debt & Capital Markets FinancingMembers only Login
Bryan Kern, accompanied by a panel of experts, outlines the current state of debt and capital markets, as well as opportunities for financing.
The SEC’s MCDC Initiative: Where To Go From HereMembers only Login
With the deadline to self-report quickly approaching SEC’s MCDC Initiative, Katten Law Firm set forth a number of items that obligors and underwriters should consider as they prepare to go through the MCDC process.
The MCDC Initiative Presentation
This past March, the SEC introduced the Municipalities Continuing Disclosure Cooperation Initiative (MCDC Initiative) to help address concerns that issuers and underwriters have not been complying with continuing disclosure requirements in bond...
CDFA // BNY Mellon Webcast Series: The MCDC Initiative: An Interactive DiscussionMembers only Login
In this installation of the CDFA // BNY Mellon Webcast Series, expert panelists from across the country openly discuss the MCDC Initiative from the viewpoints of both issuers and underwriters.
Municipal Issuers and the SEC’s MCDC InitiativeMembers only Login
Hunton & Williams addresses the feasibility of issuers self-reporting under the SEC’s MCDC. We discuss certain aspects of MCDC applicable to issuers, concerns about the scope and discretion retained by the SEC’s Enforcement Division in considering...
CDIAC SEC MCDC, Part II: Issuer Considerations and Actions - PresentationMembers only Login
The California Debt and Investment Advisory Commission's (CDIAC) Webinar on the SEC's MCDC Initiative covers steps issuers should take to determine their status, addressing the standard of “materiality," who needs to be involved in the decision...
CDIAC SEC MCDC, Part I: A Call to All Municipal Issuers - TranscriptMembers only Login
The California Debt and Investment Advisory Commission's (CDIAC) Webinar on the SEC's MCDC Initiative provide information on the origins of the MCDC Initiative and why it is advantageous for issuers and underwriters to participate, who should...
CDIAC SEC MCDC, Part I: A Call to All Municipal Issuers - PresentationMembers only Login
The California Debt and Investment Advisory Commission's (CDIAC) Webinar on the SEC's MCDC Initiative provide information on the origins of the MCDC Initiative and why it is advantageous for issuers and underwriters to participate, who should...
CDIAC SEC MCDC, Part II: Issuer Considerations and Actions - TranscriptMembers only Login
The California Debt and Investment Advisory Commission's (CDIAC) Webinar on the SEC's MCDC Initiative covers steps issuers should take to determine their status, addressing the standard of “materiality," who needs to be involved in the decision...
The SEC's Municipalities Continuing Disclosure Cooperation Initiative — An Inevitable Dilemma?Members only Login
Foley & Lardner hosted a web conference with takeaways including, key aspects of the SEC MCDC initiative, potential pitfalls from MCDC participation, and when borrowers should consider taking advantage of the MCDC initiative.
SEC Municipal Securities Self-Reporting InitiativeMembers only Login
This whitepaper from Norton Rose Fulbright provides a background on the SEC Municipalities Continuing Disclosure Cooperation (MCDC) Initiative, and details on recommended actions and identifying possible violations.
To Report or Not – The SEC’s New MCDC InitiativeMembers only Login
This webinar presented by Ballard Spahr focused on what various participants in the municipal market, including issuers, borrowers, and underwriters, need to know about the MCDC initiative and considerations that should be made before self-reporting.
The Municipal Advisor Rule: Receiving Advice from Your Broker-Dealer Regarding InvestmentsMembers only Login
This paper from the Bond Dealers of America is intended to assist state and local governments in understanding the impact that the Municipal Advisor Rule of the SEC has on their sales and purchases of securities through brokerdealers.
Kutak Rock Public Finance Client Alert - SEC MCDC InitiativeMembers only Login
Kutak Rock LLP provides information on the SEC MCDC Initiative including when and what must be self-reported, who can self-report, and considerations for issuers and underwriters.
CDFA // BNY Mellon Webcast Series: Understanding the Role of Municipal and Financial AdvisorsMembers only Login
During this webcast, Lynette Kelly of the MSRB, Leo Karwejna from Public Financial Management and John McNally of Hawkins Delafield & Wood LLP explained the role of the MA and discussed the proposed draft Rule G-42.
Accessing the U.S. Capital MarketsMembers only Login
Sidley Austin produced this excellent primer for entities interested in accessing the U.S. capital markets. This resource provides an overview of securities regulations and laws, the offering process, compliance obligations, exempt offerings, a...
The Dodd-Frank Act: A Cheat SheetMembers only Login
As summarized by Morrison Foerster, this "Cheat Sheet" outlines the basic impacts of The Dodd-Frank Wall Street and Consumer Protection Act. Signed into federal law by President Barack Obama on July 21, 2010 and passed as a response to the...
CDFA - BNY Mellon Webcast Series: Crowdfunding - A Finance Opportunity or Fleeting Trend?Members only Login
Crowdfunding is gaining popularity, and many people are talking about it. Yet, the long-term viability of crowdfunding and whether this new funding method can be applied to other areas of business development is still uncertain. So, what do you need...
Crowdfunding - A Finance Opportunity of Fleeting Trend Presentation
Crowdfunding is gaining popularity, and many people are talking about it. Even the Securities Exchange Commission (SEC) has joined the discussion as they consider potential regulations. Crowdfunding combines the small investments from several...
SEC Report on the Municipal Securities MarketMembers only Login
This report from the Securities and Exchange Commission provides a detailed review of municipal bonds and the municipal bond market, and suggests a number of legal and regulatory reforms.
Municipal Bond Legislation and RegulationMembers only Login
Michael Decker of SIFMA discusses the numerous legislative and regulatory challenges facing bonds, including tax reform and SEC and MSRB changes.
SEC Study on Investment Advisors and Broker-Dealers
This study by the SEC is required by Section 913 of the Dodd-Frank Act. It looks at the effectiveness of existing legal or regulatory standards of care for providing personalized investment advice and recommendations about securities to retail...
Capital Markets: SEC UpdateMembers only Login
Greg Sandomirsky provides a discussion of the Security and Exchange Commission's approach to regulating muni bonds in the wake of Dodd-Frank and other recent changes.
CDFA - BNY Mellon Webcast Series: Proposed SEC Ruling: Volunteer Board Members as Registered Financial Advisors?Members only Login
The U.S. Securities and Exchange Commission issued proposed rules that would require appointed board members of municipal entities to register with both the SEC and the Municipal Securities Rulemaking Board (MSRB) if they advise on the issuance of...
Recent Municipal Securities Law Developments
This presentation by Dilworth Paxon covers recent changes implemented by the SEC and the Dodd-Frank Bill affecting municipal bond finance.
Important Developments in the Municipal Bond Market
This update from Hunton & Williams covers a variety of regulatory and legislative changes with impacts on the municipal bond market, including: SEC changes to disclosure requirements, Build America Bond pricing and offset concerns, and the...
Memorandum of Understanding Between the IRS and the SEC for Tax-Exempt Bonds/Municipal Securities Compliance
This Memorandum of Understanding (MOU) outlines the cooperative efforts the Internal Revenue Service (IRS) and the Securities and Exchange Commission (SEC) will undertake to enhance compliance by the municipal securities industry with the rules,...
CDFA Spotlight: Auction-Rate Securities Market Changes Forcing Issuers to Pursue Alternatives
Problems with the auction-rate securities market have dominated industry headlines for the last several months. With the erosion of the once commonly used, low-cost bond financing option, issuers have been looking for cost effective alternatives....
Displaying 1 - 34 of 34 Previous | Next | New Search

CDFA National Sponsors

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  • NW Financial Group, LLC
  • Petros PACE Finance
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  • Wilmington Trust
  • Z. The Bond Buyer
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