Search for: "Securites and Exchange Commission"
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11 May 2020, 9:04 am
The Markets and Cyber Risk The Securities and Exchange Commission (SEC) noted—in a 2018 statement—the increasing risk of cybersecurity incidents for investors. [read post]
15 Sep 2015, 9:30 pm
This shift, according to the report, has made liquidity harder to access for borrowers who do not use public exchanges as readily. [read post]
7 Mar 2012, 8:40 am
The failure to exempt foreign exchange swaps and forwards from the Volcker Rule would significantly impede liquidity in foreign exchange markets, leading to significantly increased transaction costs, volatility, and currency risk for all market participants, including central banks and end users hedging risk. [read post]
3 Jan 2012, 7:37 am
But The New York Times is reporting that the Securities and Exchange Commission has filed fraud charges against six former executives with Freddie Mac and Fannie Mae. [read post]
31 Jan 2011, 5:00 am
The Securities and Exchange Commission proposed a new rule that would require advisers to private funds to report information for use by the Financial Stability Oversight Council in monitoring risk to the U.S. financial system. [read post]
16 Jul 2010, 3:03 pm
The act permits whistleblowers to share in recoveries by the SEC or the Commodities Futures Trading Commission (CFTC). [read post]
6 Nov 2020, 6:30 am
Securities and Exchange Commission, on Tuesday, November 3, 2020 Tags: Capital formation, Equity offerings, Investor protection, Registration exemptions, SEC, Securities regulation Statement by Chairman Clayton on Harmonizing, Simplifying and Improving the Exempt Offering Framework Posted by Jay Clayton, U.S. [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]
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]
17 Sep 2021, 1:19 pm
The Securites And Exchange Commission (SEC) has also become involved, filing its own lawsuit against the company committing fraud. [read post]
24 Dec 2009, 6:31 am
In doing so, the author discusses the conduct of the major regulators, including the Securities and Exchange Commission (SEC), which he does not spare from criticism. [read post]
26 Sep 2008, 2:19 pm
I mean whose bright idea was it to securitize the riskiest mortgages, anyway? [read post]
2 Apr 2021, 1:29 pm
Greensill, a simple supply chain finance company went belly up after deciding to securitize supplier invoices. [read post]
22 Jan 2011, 7:50 am
Wells Fargo, in a variation on the same theme, provided the judge with a copy of the Pooling & Servicing Agreement (“PSA”), but the copy was downloaded from the Securities and Exchange Commission website and was not signed, so it didn’t contain the loan schedules referenced in the agreement that should have identified the mortgage in question as being included in the pool. [read post]
23 May 2011, 5:05 am
The underlying actions were brought by persons who had purchased mortgage pass-through certificates, registered with the Securities and Exchange Commission (“SEC”) and entitling them to distributions from underlying pools of mortgages. [read post]
3 Oct 2011, 5:00 pm
Also during this period, the National Consumer Law Center, an amicus for the borrower/homeowner, discovered that the stipulated “facts” about how Deutsche Bank, the trustee for a securitized pool of loans, got the note were contrary to provisions of the sales and servicing agreement filed with the Securities and Exchange Commission (SEC). [read post]
13 Jan 2022, 9:15 am
In 2021, El Salvador enacted legislation to recognize Bitcoin as a medium of exchange. [read post]
11 Dec 2009, 11:38 am
Securitization The legislation reforms the process of securitization by, primarily, requiring companies that sell products like mortgage-backed securities to retain a portion of the risk to ensure that they will not sell garbage to investors, because they have to keep some of it for themselves. [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 Feb 2012, 5:05 am
And a new Securities and Exchange Commission interpretation just issued means investors now can vote on whether they think companies should provide equal access to all on the Internet. [read post]
