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Gary D. Roth Alston & Bird LLP

Results 1 to 5 of 7



Credit risk retention Final Rule with focus on auto issuers *

USA - October 30 2014
On October 22, 2014, the Board of Governors of the Federal Reserve System, the Department of Housing and Urban Development, the Federal Deposit…

Co-authors: Tara Castillo, Allison Muth, Joseph Pohlkamp.


What’s left on the SEC’s rulemaking table? *

USA - October 10 2014
At an open meeting on August 27, 2014, the U.S. Securities and Exchange Commission (SEC) unanimously adopted final rules substantively revising the…

Co-authors: Tara Castillo, Joseph Pohlkamp.


SEC adopts the first part of final rules relating to Regulation AB II *

USA - August 28 2014
On August 27, 2014, at an open meeting, the U.S. Securities and Exchange Commission (SEC) unanimously adopted final rules substantially revising the…

Co-authors: Richard D. Simonds, Jr, Tara Castillo, William B. Macurda.


SEC re-proposes transaction and registrant shelf eligibility requirements for asset-backed securities and requests comment on other outstanding rule proposals *

USA - August 4 2011
On July 26, 2011, the U.S. 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).

Co-authors: Carol McGee, Evan M. Drutman, Tara Castillo, Allison Muth.


SEC proposes rules regarding third-party due diligence reports and certifications for asset-backed securities *

USA - June 1 2011
As part of its continuing efforts to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), on May 18, 2011, the U.S. Securities and Exchange Commission (the “Commission”) unanimously approved for public comment proposed rules that would require nationally recognized statistical rating organizations (NRSROs), issuers and underwriters to make public the findings and conclusions of any due diligence reports prepared by a third-party service provider in an asset-backed securities transaction.

Co-authors: Carol McGee, Evan M. Drutman, Tara Castillo.


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