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10 Jan 2011, 4:34 pm by James Hamilton
These costs will be borne by the individuals, pension plans, and other investors in the form of reduced returns over time.Dealers play a critical role in the US corporate bond market, including underwriting in the primary market, trade execution in the secondary market, and structuring credit derivatives to allow investors to hedge exposures and accept more tailored risks. [read post]
6 Jan 2011, 7:17 am by Carolyn Elefant
In addition to the considerable potential for conflicting regulations as has been the case with the ethics of looking at metadata, bars have no business trying to self-regulate how lawyers handle personal information like social security numbers, credit card numbers and drivers license, issues circumscribed by federal and state law. [read post]
31 Dec 2010, 8:41 pm
Kelvin Shaw, previously with Brecek & Young Advisors, Inc. in Temecula, CA, was barred from association with any FINRA member in any capacity in connection with his recommendation to certain customers to invest in a non-FINRA regulated investment group that operated as a commodity pool, which was exposed as a Ponzi scheme. [read post]
30 Dec 2010, 6:00 am by Kara OBrien
In applying the Code, the FSA also encourages firms to have regard to applicable good practice on remuneration and corporate governance such as guidelines produced by the National Association of Pension Funds (see Annex 2, Section D below). [read post]
29 Dec 2010, 6:45 am by Stikeman Elliott LLP
A solid regulatory system and strong demand for Canadian resources and commodities have kept the country in the business headlines for all the right reasons. [read post]
16 Dec 2010, 8:59 am by Buce
Corporate Structure: None of the Wall Street partnerships got into trouble, only the publicly traded iBanks. [read post]
16 Dec 2010, 8:03 am by Frank Pasquale
In this sense they are meta-commodities that govern the unfolding of the contemporary economic model. [read post]
16 Dec 2010, 4:45 am by James Hamilton
Section 303 says that a qualified fund of funds may pay exempt-interest dividends without regard to the requirement that at least 50 percent of the value of its total assets consist of tax-exempt state and local bonds and elect to allow its shareholders the foreign tax credit without regard to the requirement that more than 50 percent of the value of its total assets consist of stock or securities in foreign corporations. [read post]
15 Dec 2010, 6:57 pm by Frank Pasquale
In this sense they are meta-commodities that govern the unfolding of the contemporary economic model. [read post]
23 Nov 2010, 9:24 am by Mandelman
The most simplified example of a credit default swap would be issued as related to highly rated corporate bonds. [read post]
2 Nov 2010, 7:44 am by Adam Thierer
First, however, Wu deserves credit for coming clean about just how radical his proposal is. [read post]
21 Oct 2010, 6:44 am by Dennis Hursh
  Stock is the capital raised by a corporation through the issue of shares entitling holders to an ownership interest of the corporation. [read post]
14 Oct 2010, 6:44 pm
In Japan's case, the same undervalued yen that supported exports sapped consumers' purchasing power while yields on their savings were kept artificially low to fund cheap loans to corporations and government. [read post]
4 Oct 2010, 8:49 am by Kara OBrien
A powerful new tool for policing fraud is Section 6(b) of the Commodity Exchange Act  and it will be similar to Section 10(b) of the ‘34 Act. [read post]
3 Oct 2010, 1:16 pm
The IRS has issued two sets of regulations on this rule: one applies to C corporations, the other applies to partnerships and S corporations. [read post]
15 Sep 2010, 10:57 am by Kara OBrien
  One business unit might find itself extending credit within a particular industry and think that the level of credit risk is acceptable. [read post]
9 Sep 2010, 12:32 pm by Kara OBrien
NRSRO’s (credit rating agencies) are now covered as well. [read post]