Search for: "Securites and Exchange Commission"
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16 Feb 2010, 10:43 am
The United States Securities and Exchange Commission (“SEC” or the “Commission”) recently made changes that could affect the speed and efficiency with which investigations are handled and enforcement actions are brought. [read post]
23 Mar 2023, 7:34 am
(Financial Crisis Inquiry Commission). [read post]
10 Feb 2017, 5:54 am
Bank Regulation and Securitization: How the Law Improved Transmission Lines between Real Estate and Banking Crises Posted by Erik F. [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 Jan 2014, 6:00 am
The TruPS CDO structure was the vehicle that gave effect to the use of trust preferred securities as a regulatory capital instrument prior to May 19, 2010, and was part of the status quo that Congress preserved with the grandfathering provision of section 171.The interim final rule also provides clarification that the relief relating to these TruPS CDOs extends to activities of the banking entity as a sponsor or trustee for these securitizations and that banking entities may continue to act… [read post]
14 Nov 2013, 10:15 am
On November 7, 2013, the Securities and Exchange Commission (SEC) today charged RBS Securities Inc., a subsidiary of the Royal Bank of Scotland plc, with misleading investors in a 2007 subprime residential mortgage-backed security (RMBS) offering. [read post]
18 Feb 2016, 11:44 am
Securities and Exchange Commission and said it was cooperating, but alleged that no specific charges of wrongdoing have been made. [read post]
9 Oct 2014, 10:09 am
On August 27th, 2014, the Securities and Exchange Commission (“SEC”) unanimously decided to revise the rules that govern the disclosure, reporting, and offering of asset-backed securities (“ABS”) which would enhance transparency, better protect investors and facilitate capital formation in the market. [read post]
17 Dec 2013, 9:42 am
On Tuesday, December 10, five federal regulatory agencies, the Federal Reserve, the Securities and Exchange Commission, the Federal Deposit Insurance Corporation, the Office of the Comptroller and the Commodity Futures Trading Commission, jointly released the long awaited and hotly contested “Final Rules Implementing the Volcker Rule. [read post]
16 Apr 2010, 1:06 pm
The case is Securities and Exchange Commission v. [read post]
21 Apr 2020, 12:46 pm
In November 2019, the financial services regulators responsible for the Volcker Rule regulations (the Board of Governors of the Federal Reserve Board, the Office of the Comptroller of the Currency, the Commodity Futures Trading Commission, the Federal Deposit Insurance Corporation and the Securities and Exchange Commission, collectively, the “Agencies”) issued final rules revising the proprietary trading restrictions placed on certain banking entities (the… [read post]
12 Apr 2010, 6:34 am
On April 7, 2010, the Securities and Exchange Commission proposed significant revisions to Regulation AB and other rules relating to the disclosure, reporting and offering process for asset-backed securities. [read post]
17 Jun 2009, 1:09 pm
While the administration did not go far as some market observers had expected, the president's proposals would significantly expand the authority of the Securities and Exchange Commission and other regulators. [read post]
28 May 2013, 9:16 am
Two structured settlement industry leaders have taken issue with a recent Securities and Exchange Commission (SEC) Investor Bulletin providing advice for individuals who are contemplating selling or purchasing (as investors) structured settlement payment rights and/or future pension payments. [read post]
4 Jun 2008, 12:15 pm
" See Securit[ies] and Exchange Commission Proxy Rules: Hearings on H.R. 1493, H.R. 1821, and H.R. 2019 Before the House Comm. on Interstate and Foreign Commerce , 78th Cong., 1st Sess., at 35 (1943). [read post]
23 Jun 2022, 9:01 pm
Chair Gensler’s Regulatory Flexibility Agenda[1] for the Securities and Exchange Commission sets forth flawed goals and a flawed method for achieving them. [read post]
25 Jun 2020, 5:13 pm
Some have criticized the practice as anticompetitive, an obstacle to broad and diverse participation on swap execution facilities (SEFs), and potentially inconsistent with numerous provisions of the Commodity Exchange Act (CEA) and Commission regulations. [read post]
28 Apr 2022, 5:57 am
Gensler further noted that in 2020, the Commission amended Rule 15c2-11 of the Exchange Act, which governs the publication or submission of quotations by dealers outside of national securities exchanges. [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 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]
