Written by one of the most respected figures in the field, author and practitioner Robert A. Fippinger, The Securities Law of Public Finance covers every vital area, from finance structuring to securities distribution to the many regulatory changes made in response to the economic downturn. It takes you through each aspect of the regulatory framework controlling the issuance and trading of municipal securities, with special attention to disclosure and fraud issues, including the sovereign immunity defense.

Cited by the SEC for its excellence in illuminating legal issues, The Securities Law of Public Finance clarifies and analyzes the law to give you the smart, steady guidance you need to comply more confidently with registration, disclosure, due diligence, fiduciary, and contractual requirements—and avoid costly legal actions. Included are primary sources, flowcharts, and summary charts that help speed compliance with the rules. Understand:

  • The differences in the regulatory requirements between public finance and corporate finance
  • What are “exempt transactions” and “separate securities”
  • The many kinds of entities that may issue municipal securities
  • The timeline and regulatory requirements for new issue distributions in public finance
  • Asset-backed municipal securities and the use of derivative products
  • Public finance disclosure hot topics and due diligence procedures
  • The regulation of municipal securities broker-dealers, municipal advisors, and investment advisors
  • The structure of the municipal securities marketplace
  • SEC enforcement activity
  • Fraud concepts and sovereign immunity issues in the public securities arena
Publication Date: September 2011
Last Updated: September 2023
ISBN: 9781402416422
Page Count: 2,746 pages
Number of Volumes: 2

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