Search for: "Securites and Exchange Commission"
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3 Nov 2023, 10:39 am
They’re under the watchful eye of the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). [read post]
26 Feb 2012, 10:18 pm
A giant international insurance company agrees to underwrite the value of each new series of bonds, in exchange for annual premiums.The premiums are included in the price of the repackaged securities. [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]
11 Jan 2012, 6:56 am
Under a voluntary agreement with the Securities and Exchange Commission, the largest U.S investment banks were also subject to the form of Basel capital rules that existed in 2008. [read post]
12 Oct 2007, 12:51 am
Article 2 (Definitions) The definitions of terms used in this Act shall be as follows: 1.The term “real estate investment company” means any company that is incorporated pursuant to Article 5 mainly for the purpose of investing its assets in real estate and managing invested assets, which falls under each of the following items: (a) The self-managed real estate investment company: The company that has full-time officers and employees, including asset management specialists, on its… [read post]
1 Feb 2012, 9:07 am
Securities and Exchange Commission was also involved in the probe, said another person familiar with the case, who added that fewer than five people will be charged. [read post]
23 Sep 2008, 10:55 pm
" Turning to the lenders, the part of the problem that is within my jurisdiction, I agree with Christopher Cox, the chairman of the Securities and Exchange Commission,who today called for more regulation of the credit derivatives markets. [read post]
22 Jan 2008, 8:20 am
Beazer asked the Securities and Exchange Commission for permission to omit the proposal, but the company's "no action" petition was denied. [read post]
22 Aug 2017, 9:10 am
“Many of these documents are on file with the Securities and Exchange Commission and can be view on its website. [read post]
28 Mar 2011, 7:02 pm
Trustee Want Chapter 11 Trustee for West End Financial The Securities and Exchange Commission and the U.S. [read post]
15 Aug 2019, 11:24 pm
Late in the game, the FMC even bought a financial institution (UNION FEDERAL SAVINGS BANK, now defunct) outright to have even greater control over the make-money-quick scheme and mix its own harvest of high-interest subprime lemons into the securitization pool in 2017. [read post]
21 May 2009, 1:42 am
Discovery Dispute Leads SEC to Seek Attorney Sanctions
Daily Business Review
The Securities and Exchange Commission is seeking sanctions against three Akerman Senterfitt attorneys and a Miami solo, accusing the attorneys of dragging out the discovery process by erroneously arguing that documents sent by U.S. [read post]
13 Feb 2024, 9:05 pm
This total excludes rules of the stock exchanges, which number in the thousands each year, in all administrations. [read post]
4 May 2021, 6:13 am
Importantly, the 2017 Ordinance also allowed foreign entities conducting activity similar to that of credit institutions, AIF, UCITS, OFS or securitization vehicles to acquire unmatured loan receivables from French credit institutions, AIF, UCITS, OFS or securitization vehicles. [read post]
26 Jan 2011, 12:54 am
Subprime litigation – by which I refer to the full panoply of cases tied to high-risk lending, mortgage securitization and sales of mortgage-backed securities in the last five or six years – remains front and center. [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]
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]
15 Jul 2020, 7:20 am
Their wide variety of high-quality legal services, including initial public offerings, follow-on offerings, corporate debt and convertible debt offerings, merger and acquisition projects, material asset reorganizations, and backdoor listings, has won them industrywide recognition and their partners have been invited to serve on the Issuance Appraisal Committee and the Merger & Acquisition and Reorganization Committee of the China Securities Regulatory Commission; and the expert… [read post]
7 Jul 2009, 6:22 am
" In fact, the Securities and Exchange Commission noted that "Bear Stearns' concentration of mortgage securities was increasing for several years and was beyond its internal limits," yet the Bear Stearns Board of Directors did nothing to mitigate this exponential growth to the balance sheet and protect the company's liquidity. [read post]
24 Jul 2020, 6:23 am
"As laid out in the 2011 report of the Financial Crisis Inquiry Commission, a "combination of excessive borrowing, risky investments, and lack of transparency put the financial system on a collision course with crisis. [read post]
