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Gary D. Roth Alston & Bird LLP

Gary D. Roth

Results 1 to 4 of 4



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.


SEC adopts first rules required by Dodd-Frank *

USA - January 24 2011
On Thursday January 20, 2011, the Securities and Exchange Commission (SEC) approved a set of final rules required by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) for asset-backed securities (ABS).

Co-authors: Carol McGee, Tara Castillo.


SEC proposes to overhaul regulation of asset-backed securities *

USA - April 9 2010
In an open meeting on April 7, 2010, the Securities and Exchange Commission (SEC) unanimously approved for public comment proposed rules that seek substantially to modify the regulatory framework in place for asset-backed securities (ABS).

Co-authors: Carol McGee, David E Brown, Lawanna Kimbro, Evan M. Drutman, Tara Castillo.