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12 Mar 2012, 6:00 am
In addition to filing Form ADV with the SEC when they register with the Securities and Exchange Commission, private fund managers will also need to start filing Form PF. [read post]
7 Mar 2012, 8:40 am
The failure to exempt foreign exchange swaps and forwards from the Volcker Rule would significantly impede liquidity in foreign exchange markets, leading to significantly increased transaction costs, volatility, and currency risk for all market participants, including central banks and end users hedging risk. [read post]
28 Feb 2012, 5:05 am
And a new Securities and Exchange Commission interpretation just issued means investors now can vote on whether they think companies should provide equal access to all on the Internet. [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]
26 Feb 2012, 8:56 pm
And, while the Minister is presumably busy contemplating how to reconcile the two, within 9 months of enforcement of the Merger Regulations, the Competition Commission of India (CCI) has announced the first set of amendments to the Regulations. [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]
27 Jan 2012, 10:56 am
Securities and Exchange Commission, said that not every failure was a violation of the law. [read post]
25 Jan 2012, 11:17 am
Securities and Exchange Commission, will serve as leaders of the mortgage working group. [read post]
16 Jan 2012, 3:22 pm
The success of the proposed regulations will thus partially rely on the Commission's interpretation of Section 3(a)(77). [read post]
13 Jan 2012, 9:49 am
The proposed $285 million mortgage securities fraud settlement between Citigroup and the Securities and Exchange Commission was more of the same non-admission nor denial of guilt silliness, but at least it was rejected by Judge Jed Rakoff who described the deal as being “neither fair, nor reasonable, nor adequate, nor in the public interest,” and further that it deprived the public “of ever knowing the truth in a matter of obvious public importance. [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]
6 Jan 2012, 6:07 pm
He also allegedly provided misleading and untruthful information about Anthony Fields & Associates’ clients, assets under management, and operational history on the company’s Web site and in filings submitted to the Commission. [read post]
3 Jan 2012, 7:37 am
But The New York Times is reporting that the Securities and Exchange Commission has filed fraud charges against six former executives with Freddie Mac and Fannie Mae. [read post]
2 Jan 2012, 11:22 am
In fact, the charges brought by the Securities and Exchange Commission against six former Fannie and Freddie executives tell a different story; it charges that the executives were motivated to begin buying subprime mortgages -- belatedly, contrary to the Big Lie -- because they were trying to reclaim lost market share, and thus maximize their bonuses. [read post]
28 Dec 2011, 5:00 am
The Securities and Exchange Commission and federal banking regulators have extended the comment period on the Volcker Rule proposed regulations from January 13, 2012 to February 13, 2012. [read post]
29 Nov 2011, 7:50 am
Even the Securities and Exchange Commission is asking questions, including the big one: Are these numbers for real? [read post]
26 Nov 2011, 10:24 am
Thus, rating agencies would have to publish those sovereign debt ratings outside the European working hours of the stock exchanges, so that traders have some time to assess them before starting to trade. [read post]
21 Nov 2011, 7:43 am
" On October 31st, the Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "SEC") jointly announced final rules relating to new reporting requirements for advisers of certain private funds, commodity pool operators and commodity trading advisors.2 The new rule will require filing of Form PF (for "private fund") by investment advisers registered with the SEC that advise private funds having at… [read post]
9 Nov 2011, 12:27 pm
Lee says to be careful of running afoul of exchange rules if doing a lot of these deals. [read post]
1 Nov 2011, 5:13 am
IN addition to filing Form ADV with the SEC when they register with the Securities and Exchange Commission, private fund managers will also need to start filing Form PF next year. [read post]
