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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: Bond Finance\Post-Issuance Compliance
Displaying 1 - 42 of 42 Previous | Next | New Search
Forward-Looking Statements in Municipal Disclosures
Due to recent events related to COVID-19, the SEC released a public statement on May 4, 2020, encouraging municipal issuers and issuers to consider voluntary disclosures of forward-looking information regarding the potential future impacts of...
CDFA - PFM Capital Markets Webinar Series: What Your Bond Finance Team Worries AboutMembers only Login
During this webinar, Bethany Pugh, Managing Director at PFM, Todd Fraizer, Managing Director at PFM, Austin McGuan, Director, Stifel Nicolaus & Company, Matthew Eisel, Managing Director at PFM, and Robert McCarthy, Partner with Bricker & Eckler LLP...
CDFA - PFM Capital Markets Webinar Series: Emerging Technology and the Capital Markets
During this webinar, Bethany Pugh, Managing Director with PFM, Robert Novembre, CEO & Founder of Clarity Market Holdings, Lindsey Brannon, Head of Finance at Neighborly, and Gregg Bienstock, CEO & Co-Founder of Lumesis discussed how emerging...
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...
2019 Proposed Bond Reissuance RegulationsMembers only Login
The Department of the Treasury's IRS released new Proposed Regulations regarding Bond Reissuance. The Proposed Regulations address the subject of “reissuance” in connection with issues of tax-exempt obligations. The Proposed Regulations...
IRS Publication 5005- Your Responsibilities as a Conduit Issuer of Tax-Exempt BondsMembers only Login
The IRS Publication 5005 provides an overview for state and local governments of the responsibilities of the conduit issuer with respect to the tax compliance in municipal financing arrangements commonly known as conduit financings.
Partners Involved: Bond CounselMembers only Login
Michael Allen of Ice Miller LLP presents on the role of the bond counsel in bond transactions.
Arbitrage Compliance Guide for IssuersMembers only Login
This publication is a basic guide to the yield restriction and rebate requirements from the IRS. Understanding the arbitrage requirements can help issuers and conduit borrowers comply with their obligations and prevent violations of the arbitrage...
Primer On Monitoring Post-Issuance ComplianceMembers only Login
This audio cast from the IRS covers the importance of implementing post-issuance compliance procedures and regularly monitoring those procedures to preserve the status of tax-advantaged bonds over the entire life of the bonds. Tax-advantaged bonds,...
Post-Issuance Compliance ChecklistMembers only Login
The National Association of Bond Lawyers (NABL) and the Government Finance Officers Association (GFOA) have jointly developed the following checklist to assist bond counsel in discussing with issuers and conduit borrowers, as applicable, post...
Compliance Guidelines for Tax-Exempt BondsMembers only Login
This document explains the guidelines and practices that Stanford follows to remain in compliance with rules relating to tax-exempt bonds. Compliance is required both upon the issuance of the bonds and during the post-issuance phase which extends...
Timing of Annual Financial DisclosuresMembers only Login
The MSRB’s report finds that the majority of issuers had a commitment date of 180 days or 270 days from the end of the issuer’s fiscal year. Over the last several years, the number of commitments of 180 days has generally decreased while there has...
Conduit Issuer ResponsibilitiesMembers only Login
This is part two, Conduit Issuer Responsibilities, of a three-part series for conduit issuers of tax-exempt financing This module focuses on some of the responsibilities conduit issuers have in ensuring, compliance necessary to retain the...
Post-Issuance Compliance Sample PolicyMembers only Login
This is a sample post-issuance compliance policy from Quarles Brady.
Considerations for Developing Post-Issuance Tax Compliance ProceduresMembers only Login
The National Association of Bond Lawyers (NABL) has prepared this publication in coordination with the Government Finance Officers Association (GFOA) to assist issuers and conduit borrowers and their advisors in establishing effective procedures to...
IRS Publication 4078: Private Activity BondsMembers only Login
This IRS Publication 4078, Tax-Exempt Private Activity Bonds, provides a revised overview of the general federal tax law rules that apply to qualified private activity bonds.
IRS Publication 4077: 501(c)(3) BondsMembers only Login
This publication from the IRS describes rules that apply to a particular type of qualified private activity bonds: qualified 501(c)(3) bonds. This Publication also addresses practices and steps an issuer or 501(c)(3) organization can take to protect...
Recent Trends in Tax-Exempt Bond FinanceMembers only Login
Chris Burnham of the Development Finance Authority of Summit County in Ohio shares some recent trends in bond issuances that the agency has experienced.
Issuing Bonds - The RulesMembers only Login
Ben Barker of the California Municipal Financial Authority and Linda Schakel of Ballard Spahr LLP detail the various rules and items to monitor during issuance of tax exempt bonds.
MSRB Annual Report 2015Members only Login
The Municipal Securities Rulemaking Board's (MSRB) 2015 Annual Report highlights the organization's progress on investor protection initiatives to enhance market structure, its ongoing efforts to improve issuer disclosure practices and the...
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.
Success in Post-Issuance Compliance ProgramsMembers only Login
Debbie Todd discusses three keys to success for post-issuance compliance programs.
Best Practices Post-Issuance Compliance Members only Login
Lisa Danka from the Arizona Department of Transportation goes over best practices in post-issuance compliance.
The Role of Tax Exemption in Post-Issuance ComplianceMembers only Login
Todd Cooper from Squire Patton Boggs examines the power the IRS has to mandate post issuance compliance, and their ability to remove an entity's tax-exempt status.
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.
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.
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.
Getting to Know EMMA - Intro Guide for State and Local Governments
MSRB released the 'Getting to Know EMMA' fact sheet to help state and local government officials utilize EMMA to better evaluate municipal financing options, comply with disclosure requirements, and communicate with investors.
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...
Due DiligenceMembers only Login
This presentation by Steve Grizzell of InnoVentures Capital Partners discusses the due diligence process for angel, seed, and venture investments.
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,...
Displaying 1 - 42 of 42 Previous | Next | New Search

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