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16 Nov 2014, 6:00 am
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]
9 Nov 2014, 9:30 pm
Securities and Exchange Commission has had to devote time and resources to address rules quite unrelated to both the financial crisis and the agency’s core mission, a diversion further exacerbating the delayed implementation of rules with at least an ostensible nexus to the crisis, such as those relating to security-based swaps and asset-backed securitizations, along with the Volcker rule, which prohibits financial institutions’ proprietary trading. [read post]
28 Oct 2014, 1:01 pm
Under Dodd-Frank, the CFPB took over the rulemaking authority under the GLBA for all financial institutions, with the exception of securities and futures-related companies under the jurisdiction of the Securities and Exchange Commission and the Commodity Futures Trading Commission, and certain motor vehicle dealers under the jurisdiction of the Federal Trade Commission. [read post]
22 Oct 2014, 2:05 pm
Securities and Exchange Commission. [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]
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]
9 Sep 2014, 6:07 am
Securities and Exchange Commission. [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]
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]
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 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]
14 Jan 2014, 3:14 pm
The interim final rule was approved by the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, the Commodity Futures Trading Commission, and the Securities and Exchange Commission, the same agencies that issued final rules to implement section 619. [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]
29 Dec 2013, 11:04 am
SEC Addresses Structured Settlement Transfers Responding in part to concerns about secondary market business practices, the Securities and Exchange Commission (SEC) Office of Investor Education and Advocacy issued an Investor Bulletin in 2013 titled "Pension or Settlement Income Streams: What You Need to Know Before Buying or Selling Them". [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]
14 Nov 2013, 8:15 pm
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]
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]
11 Nov 2013, 12:45 pm
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 2013, 12:39 pm
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]
