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2 Sep 2009, 4:09 pm
Report of Investigation, United States Securites and Exchange Commission Office of Inspector General, Case No. [read post]
Securities and Exchange Commission, the Federal Housing Finance Agency and the Department of Housing and Urban Development (collectively, Agencies) issued a notice of proposed rulemaking (Proposed Rule) in connection with the risk retention requirement mandated by Section 941 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). [read post]
14 Nov 2013, 8:15 pm by Walter Olson
Ellis, Corporate Counsel] Tweet Tags: football, Securities and Exchange Commission, sportsFantasy football is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
9 Apr 2010, 1:32 pm by Stikeman Elliott LLP
Securities and Exchange Commission (SEC) announced proposals to revise the rules respecting asset-backed securities in order to "better protect investors in the securitization market." [read post]
16 Jan 2012, 3:22 pm by James Hamilton
The success of the proposed regulations will thus partially rely on the Commission's interpretation of Section 3(a)(77). [read post]
3 Mar 2014, 8:01 am by Philip R. Stein
On Tuesday, Bank of America disclosed in its annual report with the US Securities and Exchange Commission (SEC) that “government regulators” in North America, Europe and Asia are investigating its foreign exchange and mortgage practices and that the U.S. [read post]
The section 941 requirements were intended to ensure that securitizers generally have “skin in the game” with respect to securitized loans and other assets. [read post]
11 Nov 2013, 12:45 pm by Editorial Board
On November 6, Wells Fargo & Co. disclosed in a regulatory filing with the Securities and Exchange Commission that it settled claims by the Federal Housing Finance Agency (acting as conservator to Fannie Mae and Freddie Mac) against it for approximately $335 million. [read post]
11 Nov 2009, 10:07 am by James Hamilton
Also, the regulations must allocate the risk retention obligations between a securitizer and an originator in the case of a securitizer that purchases assets from an originator, as the federal banking agencies and the Commission jointly determine appropriate. [read post]
20 Sep 2011, 5:00 am by Doug Cornelius
It then leaves it up to the Securities and Exchange Commission to issue rules for the purpose of implementing this new prohibition. [read post]
6 Jan 2008, 8:03 am
In this regard, he has favorably mentioned that European Commissioner for the Internal Market Charlie McCreevy has requested CESR to examine specific issues relating to the rating process of structured finance products and report back to the Commission. [read post]
22 Jul 2008, 3:31 pm
Hong Kong Markets Largely Unaffected by Securitization TurmoilThe Hong Kong securities markets have been relatively unaffected by the market turmoil in asset-backed securities, said Securities and Futures Commission Executive Director Keith Lui, since the markets have less exposure to sub-prime credit and structured credit products than the US markets. [read post]
11 Nov 2013, 12:39 pm by Editorial Board
On November 7, Royal Bank of Scotland PLC (RBS) entered into a consent decree with the Securities and Exchange Commission (SEC) agreeing to pay $153.8 million in settlement of allegations concerning RBS’s disclosures in connection with an RMBS offering. [read post]
6 Feb 2013, 5:00 am by Doug Cornelius
The Securities and Exchange Commission took the bold step of filing charges against Standard and Poor’s, one of the three giant rating agencies. [read post]
6 Feb 2013, 5:00 am by Doug Cornelius
The Securities and Exchange Commission took the bold step of filing charges against Standard and Poor’s, one of the three giant rating agencies. [read post]
2 Feb 2011, 2:00 am by Keith Paul Bishop
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]