Search for: "Securites and Exchange Commission"
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17 Sep 2013, 9:30 pm
(That said, an American Accounting Association study on the Securities Exchange Commission (SEC) indicates that enforcement increases when SEC lawyers are able to migrate to industry-defending firms.) [read post]
14 Sep 2013, 6:43 am
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]
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]
7 Aug 2013, 9:30 pm
(That said, an American Accounting Association study on the Securities Exchange Commission (SEC) indicates that enforcement increases when SEC lawyers are able to migrate to industry-defending firms.) [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]
25 Apr 2013, 6:26 am
Goldman Sachs' recent filing with the Securities and Exchange Commission (SEC) to launch a "business development company," or BDC, should be of interest to financial services companies, particularly banking institutions structuring and restructuring their operations and product offerings to comply with the Volcker Rule's prohibitions on investing in and sponsoring "covered funds." [read post]
6 Feb 2013, 5:00 am
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
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]
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]
1 Oct 2012, 12:24 pm
In Richmond, the Plaintiffs filed a lawsuit claiming the Defendants (Goldman Sachs and two Goldman Sachs employees) violated Section 10(b) of the Exchange Act, Rule 10b-5 promulgated thereunder, and Section 20(a) of the Exchange Act due to their failure to disclosure the fact they had received Wells Notices from the Commission notifying them they were under investigation by the Commission into the role they played in certain securities instruments related… [read post]
1 Oct 2012, 12:24 pm
In Richmond, the Plaintiffs filed a lawsuit claiming the Defendants (Goldman Sachs and two Goldman Sachs employees) violated Section 10(b) of the Exchange Act, Rule 10b-5 promulgated thereunder, and Section 20(a) of the Exchange Act due to their failure to disclosure the fact they had received Wells Notices from the Commission notifying them they were under investigation by the Commission into the role they played in certain securities instruments related… [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]
5 Sep 2012, 10:14 am
The case is Securities & Exchange Commission v. [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]
29 May 2012, 6:05 pm
District Court for the Southern District of New York, Kent Whitney an ex-registered floor broker at the Chicago Mercantile Exchange, agreed to pay $600K to settle allegations by the Commodity Futures Trading Commission that he made statements that were “false and misleading” to the exchange and others about a scam to trade options without posting margin. [read post]
29 May 2012, 9:07 am
The Commission is investigating, among other things, whether Wells Fargo misrepresented to investors that the loans being securitized complied with the bank’s loan underwriting standards. [read post]
14 May 2012, 8:35 am
Commodity Futures Trading Commission stands apart. [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]
30 Mar 2012, 6:19 am
For the second time in a two-month span, the Commission has brought a case for fraudulent disclosures regarding the health of a residential loan portfolio. [read post]
27 Mar 2012, 8:12 am
It seems that there’s quite a bit of discussion lately about principal reductions. [read post]
