Search for: "Securites and Exchange Commission"
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25 Jun 2010, 9:22 am
The legislation also envisions a completely reformed securitization process with risk retention (skin in the game) playing an important role in the financial markets. [read post]
7 Jun 2010, 12:52 pm
Americans have come to regard fixed-rate loans “as part of their civil rights,” says Susan Woodward, a former chief economist for the Department of Housing and Urban Development and the Securities and Exchange Commission. [read post]
28 May 2010, 8:00 am
It utilizes a quota system whereby the Planning Commission and various provincial leaders receive a listing quota for that particular region, which constitutes a certain amount of shares of government property that may be securitized and sold. [read post]
21 May 2010, 4:38 am
The Commission would have the authority to bar a regulated person who violates the securities laws in one part of the industry, such as a broker-dealer who misappropriates customer funds, from access to customer funds in another part of the securities industry, for example, an investment adviser. [read post]
17 May 2010, 6:45 am
Docx parent company, Lender Processing Services, said in a filing with the Securities and Exchange Commission that its subsidiary made an “error in the notarization of certain documents, some of which were used in foreclosure proceedings across the country. [read post]
10 May 2010, 4:50 am
On January 13, 2010, the Securities and Exchange Commission’s Enforcement Division announced a new “specialized unit” to focus enforcement resources on “all structured products, including collateralized debt obligations, both cash and synthetic, credit default swaps, securitized instruments and other structured products,” as well as “newly-developing products. [read post]
2 May 2010, 6:36 pm
Instead, Congress contented itself with the disclosure and anti-fraud measures of the Securities Act of 1933 and the Securities Exchange Act of 1934, as enforced since 1934 by the then new Securities & Exchange Commission (SEC). [read post]
19 Apr 2010, 7:35 am
The Securities and Exchange (SEC), the United States Senate Special Committee on Aging Life Settlements, among other Congressional committees, and federal and state agencies throughout the country have intensified their inquiries on life settlements and the way insurance companies are pricing premiums as a result of the life settlement securitization asset valuations. [read post]
19 Apr 2010, 7:35 am
The Securities and Exchange (SEC), the United States Senate Special Committee on Aging Life Settlements, among other Congressional committees, and federal and state agencies throughout the country have intensified their inquiries on life settlements and the way insurance companies are pricing premiums as a result of the life settlement securitization asset valuations. [read post]
16 Apr 2010, 1:06 pm
The case is Securities and Exchange Commission v. [read post]
13 Apr 2010, 10:37 am
Journal, Apr. 8, 2010 at C1 James Kelso, once a star mutual-fund manager, was accused by the Securities and Exchange Commission of deliberately inflating the value of subprime securities in order to hide losses in his funds after the real-estate bubble burst. [read post]
12 Apr 2010, 6:34 am
On April 7, 2010, the Securities and Exchange Commission proposed significant revisions to Regulation AB and other rules relating to the disclosure, reporting and offering process for asset-backed securities. [read post]
9 Apr 2010, 1:32 pm
Securities and Exchange Commission (SEC) announced proposals to revise the rules respecting asset-backed securities in order to "better protect investors in the securitization market. [read post]
7 Apr 2010, 3:27 pm
In early 2007, Goldman traders reportedly used a private London swap exchange to bet heavily against the housing market. [read post]
19 Mar 2010, 9:58 am
The Securities and Exchange Commission and the Financial Industry Regulatory Authority Inc. take a dim view of private placements, which have received a lot of negative press recently. [read post]
16 Mar 2010, 11:32 am
Public confidence in the Securities and Exchange Commission and Wall Street was broken in the wake of the 2008 financial crisis, according to a recent InvestmentNews article, “SEC needs to remember that investors come first. [read post]
2 Mar 2010, 4:34 pm
I recently served on a commission where we struggled mightily with the politics of bubble-bust regulation; I do not think we fixed the problem. [read post]
26 Feb 2010, 2:04 pm
When the investment scheme fell apart in mid-1994, the Securities and Exchange Commission (“SEC”) filed a civil enforcement action against Hickey, resulting in a consent decree that included a $1.1 million disgorgement payment. [read post]
16 Feb 2010, 10:43 am
The United States Securities and Exchange Commission (“SEC” or the “Commission”) recently made changes that could affect the speed and efficiency with which investigations are handled and enforcement actions are brought. [read post]
16 Feb 2010, 12:29 am
" Brokering agreements through an international board sounds as fruitless as the endless proposals for commissions to study tax reform. [read post]
