Search for: "Securites And Exchange Commission"
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12 Aug 2010, 11:17 am
The S.E.C. hopes that will happen with securitizations as well. [read post]
11 May 2019, 8:43 am
Examples of token issuance platforms include Securitize, Polymath, tZERO, Securrency, Harbor, and Swarm, among others. [read post]
13 Jan 2020, 5:00 am
Thereafter, it is expected to deliver a final report to the European Commission by end of March 2020. [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]
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]
9 Mar 2009, 5:00 am
Lawyers must protect their clients’ confidence, but they can’t aid in the commission of a potential crime. [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]
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]
14 May 2012, 8:35 am
Commodity Futures Trading Commission stands apart. [read post]
31 May 2016, 12:51 pm
The Securities and Exchange Commission today announced that a California-based mortgage company and six senior executives agreed to pay $12.7 million to settle charges that they orchestrated a scheme to defraud investors in the sale of residential mortgage-backed securities guaranteed by the Government National Mortgage Association (Ginnie Mae). [read post]
19 Mar 2010, 9:58 am
The Securities and Exchange Commission and the Financial Industry Regulatory Authority Inc. take a dim view of private placements, which have received a lot of negative press recently. [read post]
14 Mar 2014, 4:02 am
Conflict Minerals: Guidance for IPSAs Certain companies subject to the conflict minerals rules requirement must commission an independent private sector audit, or IPSA, of certain sections of the conflict minerals report. [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]
20 Sep 2014, 9:05 pm
Evidence against [Cheng et al., American Economic Review via MR] Shareholder litigation: “New ‘loser pays’ standard could curb abusive lawsuits” [Examiner editorial] Delaware take note: corporate by-law changes that cut off fee-seeking opportunism deserve acclaim [Keith Paul Bishop via Bainbridge] NYT was hot on “Goldman Sachs manipulated aluminum market” allegations but judge wasn’t [Reuters, July 2013 NYT] CFPB might shrug off discrimination and… [read post]
20 Sep 2014, 9:05 pm
Evidence against [Cheng et al., American Economic Review via MR] Shareholder litigation: “New ‘loser pays’ standard could curb abusive lawsuits” [Examiner editorial] Delaware take note: corporate by-law changes that cut off fee-seeking opportunism deserve acclaim [Keith Paul Bishop via Bainbridge] NYT was hot on “Goldman Sachs manipulated aluminum market” allegations but judge wasn’t [Reuters, July 2013 NYT] CFPB might shrug off discrimination and… [read post]
5 Oct 2017, 5:20 pm
The First Marblehead Corporation played the key role in origination and securitization and pocketed millions of dollars in the double-digits from each trust-transaction ($89,705.866.00 for Trust 2007-1, $88,424,309.00 for Trust 2007-4). [read post]
28 Jan 2014, 7:28 am
Securitization … [T]he Commission proposed a new set of disclosure rules for asset-backed securities … Finalizing these new disclosure rules remains an important priority for the Commission in 2014. [read post]
7 Jan 2013, 2:23 pm
From December 14 through December 31, 2012, the CFTC released the following no-action letters: December 14: Timeline for Swap Dealer Compliance with Large Swap Trader Reporting Rules December 14: Annual Reports of Chief Compliance Officers for Swap Dealers December 17: Reporting of Unique Swap Identifier by Prime Brokers December 17: Compliance with Reporting Obligations by Swap Dealers and Major Swap Participants December 18: Japan… [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]
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]
