Search for: "Securites and Exchange Commission"
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5 Mar 2016, 6:21 am
Securities and Exchange Commission. [read post]
14 Aug 2009, 10:59 am
Third, these A to D transfers are totally inconsistent with the representations and warranties made in the PSA to the Securities and Exchange Commission and to the holders of the bonds (the "Certificateholders") issued by the Trust. [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]
10 Jul 2012, 8:51 pm
"Under the Agreements, Foxworthy would finance CMG's life settlement securitization activities" and in exchange "Foxworthy would receive 40% of CMG's profits and 40% of any funds arising from a sale of CMG. [read post]
4 Jan 2023, 8:44 am
His entire operation is detailed in the petition by the US Securites & Exchange Commission filed the day after his arrest in the US District Court in the Southern District of New York. [read post]
13 Jan 2017, 8:19 am
[JURIST] The US House of Representatives [official website] approved the SEC Regulatory Accountability Act [materials] on Thursday, which requires the Securities and Exchange Commission [official website] to perform a cost-benefit analysis before implementing any new regulations. [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]
30 Apr 2014, 5:33 am
If you run a private fund, today is deadline for the annual Form PF filing with the Securities and Exchange Commission. [read post]
9 Nov 2009, 9:38 pm
The Securities and Exchange Commission is stepping up its efforts to combat senior investment fraud. [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]
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]
8 Jan 2018, 10:15 am
The investors’ money was supposed to be issued to lenders in the form of securitized mortgages. [read post]
16 Mar 2010, 11:32 am
Public confidence in the Securities and Exchange Commission and Wall Street was broken in the wake of the 2008 financial crisis, according to a recent InvestmentNews article, “SEC needs to remember that investors come first. [read post]
22 Aug 2014, 1:34 am
Approximately $1.8 billion will be paid to settle federal fraud claims related to the bank’s origination and sale of mortgages, $1.03 billion will be paid to settle federal and state securities claims by the Federal Deposit Insurance Corporation (FDIC), $135.84 million will be paid to settle claims by the Securities and Exchange Commission. [read post]
13 Feb 2007, 1:38 pm
Securities and Exchange Commission (SEC) Edgar Archive.Buyers. [read post]
8 Dec 2009, 5:03 pm
The Securities and Exchange Commission today charged Irvine-based Brookstreet Securities and it's CEO, Stanley Brooks with Fraud, alleging they sold risky mortgage-backed securities to investors and failed to inform them properly of the risks. [read post]
5 Sep 2012, 5:33 pm
On August 29, 2012, the Securities and Exchange Commission (SEC) issued a release proposing amendments to the rules governing private placements of securities (and resales of securities by institutional investors) that would allow companies to widely and publicly promote or advertise “private” sales of securities. [read post]
8 Aug 2013, 5:07 am
Many in fund compliance were dubious that the Securities and Exchange Commission would be able to do anything meaningful with the massive amount of data pushed through the form. [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]
25 Apr 2012, 7:31 pm
H & R Block (HRB) subsidiary Option One Mortgage Corporation has agreed to pay $28.2 million to settle Securities and Exchange Commission charges that it misled investors in over $4B in residential mortgage-backed securities when it failed to let them know that the company’s financial health was deteriorating. [read post]
