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14 Oct 2011, 2:00 am
Here is an excerpt: SUMMARY On September 19, 2011, the Securities and Exchange Commission proposed for public comment Rule 127B to implement the prohibition in Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act against securitization participants engaging in any transaction that would involve or result in any material conflict of interest with respect to any investor in a securitization transaction. [read post]
14 Oct 2011, 1:46 am
Securities & Exchange Commission’s (“SEC”) Task Force on Life Settlements (“Task Force”), the American Council of Life Insurers (“ACLI”) sent a letter (the “Letter”) to Mary Shapiro, Chairwoman of the SEC, on October 6, 2011, commenting on certain aspects of the Task Force’s recommendations. [read post]
3 Oct 2011, 5:00 pm
Also during this period, the National Consumer Law Center, an amicus for the borrower/homeowner, discovered that the stipulated “facts” about how Deutsche Bank, the trustee for a securitized pool of loans, got the note were contrary to provisions of the sales and servicing agreement filed with the Securities and Exchange Commission (SEC). [read post]
23 Sep 2011, 6:21 pm
We’re printing up new currency and taking it down the street to the Treasury Department in order to exchange it for other pieces of paper called bonds that say that we owe ourselves the money back in 10 years at like 2-3% interest or something like that. [read post]
20 Sep 2011, 5:00 am
It then leaves it up to the Securities and Exchange Commission to issue rules for the purpose of implementing this new prohibition. [read post]
19 Aug 2011, 6:30 am
Securities and Exchange Commission. [read post]
15 Aug 2011, 2:00 am
Securities and Exchange Commission (the “Commission”) re-proposed for public comment rules that seek to enhance the disclosure, reporting and shelf eligibility requirements for issuers of asset-backed securities (ABS). [read post]
3 Aug 2011, 5:00 am
On April 29, 2011, the OCC, Board, FDIC, Commission, FHFA and HUD published a joint notice of proposed rulemaking for public comment to implement the credit risk retention requirements of section 15G of the Securities Exchange Act of 1934 (15 U.S.C. [read post]
15 Jul 2011, 5:00 am
On March 11 2011 1 the Securities and Exchange Commission (the "SEC" or "Commission") - having previously filed all of its Galleon related insider trading actions in this federal district decided it preferred its home turf. . . .In language substantially similar to its complaints filed in this Court against some 28 other persons and entit accused of Galleon-related insider trading the SEC alleged that by virtue of such conduct, Gupta willfully violated… [read post]
1 Jul 2011, 12:52 am
Wells Fargo, in a variation on the same theme, provided the judge with a copy of the Pooling & Servicing Agreement (“PSA”), but the copy was downloaded from the Securities and Exchange Commission website and was not signed, so it didn’t contain the loan schedules referenced in the agreement that should have identified the mortgage in question as being included in the pool. [read post]
3 Jun 2011, 10:54 am
Several civil suits have been filed by federal and state regulators since the financial crisis erupted in 2008, some of which have generated settlements and fines, most prominently a $550 million deal between Goldman Sachs and the Securities and Exchange Commission. [read post]
23 May 2011, 5:05 am
The underlying actions were brought by persons who had purchased mortgage pass-through certificates, registered with the Securities and Exchange Commission (“SEC”) and entitling them to distributions from underlying pools of mortgages. [read post]
16 May 2011, 3:44 pm
(The following post is contributed by Rahul Singh)The Competition Commission of India (the "CCI") has on 11 May, 2011 notified the Competition Commission of India (Procedure in regard to the transaction of business relating to combination) Regulations, 2011 (No 3 of 2011) ("Combination Regulations") under the Competition Act, 2002 (the Competition Act). [read post]
11 May 2011, 6:00 am
Six federal agencies, including the Federal Deposit Insurance Corporation (FDIC), the Securities and Exchange Commission, and the Department of Housing and Urban Development, have jointly proposed a new rule that would require banks to retain at least five percent of the credit risk for assets-backed securities they issue. [read post]
12 Apr 2011, 5:00 pm
Ratifications exchanged at Ottawa on March 22, 1976. [read post]
5 Apr 2011, 7:42 am
The Securities and Exchange Commission March 30 unanimously proposed to require that national securities exchanges adopt certain listing standards with respect to corporate board compensation committees and compensation advisers. [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]
8 Mar 2011, 9:36 am
In a significant no-action ruling, the Securities and Exchange Commission has turned down Citigroup’s request to omit a new proposal from New York City’s pension funds that seeks a report on the bank’s mortgage lending practices.The first-year proposal calls for an independent review by Citigroup’s audit committee of the bank’s internal controls related to loan modifications, foreclosures, and securitizations. [read post]
4 Feb 2011, 3:38 pm
Congressional Republicans have threatened to reign in the Securites and Exchange Commission's budget, which has ballooned in recent years. [read post]
2 Feb 2011, 2:00 am
In reviewing recent proxy statement filings with the Securites and Exchange Commission, I’ve noted a great deal of confusion regarding the vote required for approval of the newly mandated advisory resolution on the frequency of shareholder votes on executive compensation. [read post]
