SEC Order Granting Waivers of Disqualification Provisions for Municipalities Continuing Disclosure Cooperation Initiative Underwriters

The Securities and Exchange Commission grants waivers of disqualification provisions under Rules 262(b)(3), 505(b)(2)(iii), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, as well as waivers from ineligible issuer status under Rule 405, for underwriters and issuers participating in the Municipalities Continuing Disclosure Cooperation Initiative. These waivers apply to the entities listed in the attached appendices, allowing them to access exemptions from registration under Regulation A, Regulation D, and Regulation E despite prior Commission orders. The waivers remain contingent upon the respondents' compliance with the terms of the MCDC Orders, with the Commission reserving the right to revoke or further condition the waivers in cases of non-compliance.

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UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES ACT OF 1933
Release No. 9848 / June 18, 2015
ADMINISTRATIVE PROCEEDING
File No. 3-16605; 3-16606; 3-16607; 3-16608; 3-16609; 3-16610; 3-16611; 3-16612; 3-16613; 3-16614; 3-16615; 3-16616; 3-16617; 3-16618; 3-16619; 3-16620; 3-16621; 3-16622; 3-16623; 3-16624; 3-16625; 3-16626; 3-16627; 3-16628; 3-16629; 3-16630; 3-16631; 3-16632; 3-16633; 3-16634; 3-16635; 3-16636; 3-16637; 3-16638; 3-16639 and 3-16640 In the Matter of Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative, Respondents.

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Source: Securities and Exchange Commission — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works