Search for: "Securites and Exchange Commission"
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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]
31 Jan 2011, 5:00 am
The Securities and Exchange Commission proposed a new rule that would require advisers to private funds to report information for use by the Financial Stability Oversight Council in monitoring risk to the U.S. financial system. [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]
22 Jan 2011, 7:50 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]
21 Jan 2011, 6:53 am
In a move that it hopes will help revive the flagging securitization market, the Securities and Exchange Commission Jan. 20 adopted two sets of new rules requiring asset-backed securities issuers to review the assets underlying their securities and to provide disclosures related to… Read this entire article for free, simply activate your free 15 day trial access to Securities Regulation & Law Report now. [read post]
3 Jan 2011, 8:16 pm
The Securities and Exchange Commission (SEC) has delivered another round of subpoenas to the major banks and mortgage servicers. [read post]
16 Dec 2010, 8:59 am
They had a ”Lend to securitize” business model, and they sold enormous amounts of subprime loans to Wall Street for this purpose. [read post]
16 Nov 2010, 8:44 am
It appears likely that some of the banks will file no-action requests with the Securities and Exchange Commission to exclude this new proposal. [read post]
13 Nov 2010, 6:16 am
Securities and Exchange Commission. [read post]
26 Oct 2010, 10:48 am
• In addition to its role enforcing the federal securities laws, the Securities and Exchange Commission (SEC) has issued proposed rules that would provide greater transparency and disclosures in the securitization market and provide investors with additional tools to evaluate actions in the securitization market. [read post]
15 Oct 2010, 8:34 am
SUMMARY On October 4, 2010, the Securities and Exchange Commission proposed rules pursuant to Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
14 Oct 2010, 7:11 pm
Like any entity issuing securities, they are themselves registered with the Securities and Exchange Commission (SEC). [read post]
14 Oct 2010, 7:11 pm
Like any entity issuing securities, they are themselves registered with the Securities and Exchange Commission (SEC). [read post]
1 Oct 2010, 11:48 am
Imperial Holdings has issued a revised registration statement, S1-A, with the Securities and Exchange Commission ("SEC"), in conjunction with its Initial Public Offering (IPO). [read post]
30 Aug 2010, 2:07 pm
The information is disclosed on Imperial Holdings' registration statement (" S1 filing"- page 3) for its IPO, filed August 12, 2010, with the Securities Exchange Commission ("SEC") . [read post]
12 Aug 2010, 11:17 am
The S.E.C. hopes that will happen with securitizations as well. [read post]
5 Aug 2010, 6:36 pm
The Securities and Exchange Commission staff report is recommending that the US Congress define life settlements as securities to make sure that investors of these types of transactions receive federal securities law protection. [read post]
16 Jul 2010, 3:03 pm
The act permits whistleblowers to share in recoveries by the SEC or the Commodities Futures Trading Commission (CFTC). [read post]
3 Jul 2010, 9:33 am
The Securities and Exchange Commission (SEC) will develop a solution for the conflicts of interest that currently exist and are partly responsible for the incorrect and deceptive ratings of the past. [read post]
1 Jul 2010, 2:00 am
It creates a powerful new consumer financial protection bureau and widens the purview of the Securities and Exchange Commission to broaden regulation of hedge funds and credit rating agencies. [read post]
