Skip to main content
Top Button

Securities and Disclosure

The public finance industry faces increasing regulatory oversight from numerous entities, including the Securities and Exchange Commission (SEC) and the Municipal Securities Rulemaking Board (MSRB). 

Now more than ever, issuers of all types require counsel regarding compliance with federal and state securities laws. 

Ice Miller protects its clients, from issuers to underwriters, throughout the bond financing process and after the closing of each transaction.  We counsel on a range of securities and disclosure issues, including but not limited to the following:

  • Primary offering disclosure
  • Continuing disclosure diligence and review
  • SEC Rule 15c2-12 compliance
  • Compliance with MSRB rules and regulations
  • Compliance with the Dodd–Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act)
  • Counsel to "Municipal Advisors"
  • Electronic Municipal Market Access (EMMA) filings
View Full Site View Mobile Optimized