Search for: "Securites and Exchange Commission"
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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]
1 Feb 2010, 6:36 am
The Numbers and Trends By virtually all statistical measures, the level of enforcement activity has increased substantially under this Commission. [read post]
8 Jan 2010, 7:46 am
Mozilo was indicted for fraud: The Securities and Exchange Commission announced on Thursday [June 4, 2009 - Ed.] it has filed civil-fraud charges against former Countrywide Financial CEO Angelo Mozilo in what would be the highest-profile government legal action against a chief executive that has arisen so far from the financial crisis. [read post]
7 Jan 2010, 6:19 am
Editor's Note: H. [read post]
24 Dec 2009, 6:31 am
In doing so, the author discusses the conduct of the major regulators, including the Securities and Exchange Commission (SEC), which he does not spare from criticism. [read post]
11 Dec 2009, 11:38 am
Securitization The legislation reforms the process of securitization by, primarily, requiring companies that sell products like mortgage-backed securities to retain a portion of the risk to ensure that they will not sell garbage to investors, because they have to keep some of it for themselves. [read post]
8 Dec 2009, 5:03 pm
The Securities and Exchange Commission today charged Irvine-based Brookstreet Securities and it's CEO, Stanley Brooks with Fraud, alleging they sold risky mortgage-backed securities to investors and failed to inform them properly of the risks. [read post]
11 Nov 2009, 10:07 am
Also, the regulations must allocate the risk retention obligations between a securitizer and an originator in the case of a securitizer that purchases assets from an originator, as the federal banking agencies and the Commission jointly determine appropriate. [read post]
9 Nov 2009, 9:38 pm
The Securities and Exchange Commission is stepping up its efforts to combat senior investment fraud. [read post]
16 Oct 2009, 5:00 am
Katz, Secretary (1986-2006), United States Securites and Exchange Commission Edward S. [read post]
5 Oct 2009, 5:00 am
Katz, Secretary (1986-2006), United States Securites and Exchange Commission Edward S. [read post]
27 Sep 2009, 9:56 am
Life settlements, also known as viaticals, are not securities, but they do fall under the purview of the Securities and Exchange Commission when they are pooled and put up for sale in the capital markets. [read post]
21 Sep 2009, 1:38 am
According to industry reports, the US Securities and Exchange Commission has formed a multidisciplinary task force (“Task Force”) to investigate life settlements (i.e. the sale of life insurance products by policyholders to third party investors). [read post]
2 Sep 2009, 4:09 pm
Report of Investigation, United States Securites and Exchange Commission Office of Inspector General, Case No. [read post]
14 Aug 2009, 10:59 am
Third, these A to D transfers are totally inconsistent with the representations and warranties made in the PSA to the Securities and Exchange Commission and to the holders of the bonds (the "Certificateholders") issued by the Trust. [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]
17 Jun 2009, 1:09 pm
While the administration did not go far as some market observers had expected, the president's proposals would significantly expand the authority of the Securities and Exchange Commission and other regulators. [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]
19 May 2009, 4:59 pm
" According to an October 30, 2007 letter to the Securities and Exchange Commission made public on January 14, 2008, the chief Goldman Sachs accounting officer wrote that "During most of 2007 we maintained a net short subprime position with the use of derivaties and therefore stood to benefit from decling prices in the mortgage market. [read post]
23 Apr 2009, 11:48 am
Securities and Exchange Commission chair Mary Schapiro acknowledged the need for ratings agency reform, telling attendees the firms' evaluation of securities backed by residential subprime loans, and the collateralized debt obligations linked to such securities, has "shaken investor confidence to its core. [read post]
