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Results: 1-10 of 551

Massachusetts brings enforcement action against Reserve Fund

  • Alston & Bird LLP
  • -
  • USA
  • -
  • January 14 2009

Yesterday, the Enforcement Section of the Massachusetts Securities Division of the Office of the Secretary of the Commonwealth filed an enforcement action against multiple parties affiliated with the Reserve Primary Fund (the "Fund") in connection the Fund “breaking the buck” in September of last year

The Eleventh Circuit requires members of a Section 13(d)(3) group to individually have beneficial ownership

  • Alston & Bird LLP
  • -
  • USA
  • -
  • January 13 2009

The Eleventh Circuit recently addressed an issue of first impression in this circuit regarding whether individuals or entities without a beneficial ownership interest in a company's securities can be members of a “group” within the meaning of Section 13(d)(3) of the Securities and Exchange Act of 1934 (“Exchange Act”

Treasury and other financial regulators issue financial sector self-assessment reviews to IMF

  • Alston & Bird LLP
  • -
  • USA
  • -
  • August 31 2009

Today, the U.S. Treasury and various other U.S. financial system supervisors and regulators, including the Federal Reserve, Office of the Comptroller of the Currency, Office of Thrift Supervision, Federal Deposit Insurance Corporation, Securities and Exchange Commission, Commodity Futures Trading Commission, and National Association of Insurance Commissioners, submitted financial sector self-assessment reviews for banking, securities, insurance, and payment systems to the International Monetary Fund (IMF

Chairman Schapiro issues open letter to broker-dealer firms

  • Alston & Bird LLP
  • -
  • USA
  • -
  • September 1 2009

Yesterday, the Chairman of the SEC, Mary Schapiro, issued an open letter to remind broker-dealer firms and their chief executive officers of their supervisory responsibilities

SEC adopts interim final temporary rules for eligible credit default swaps to facilitate operation of central counterparties

  • Alston & Bird LLP
  • -
  • USA
  • -
  • January 15 2009

Yesterday, the Securities and Exchange Commission (SEC) adopted interim final temporary rules granting exemptions under various securities law requirements for credit default swaps (CDS) to facilitate the operation of one or more central counterparties (CCPs) for those CDS

The Group of Thirty publishes report outlining a framework for financial stability

  • Alston & Bird LLP
  • -
  • USA
  • -
  • January 16 2009

Yesterday, the Group of Thirty (G30), a private, nonprofit, international body that aims for further understanding of international economic and financial issues, released a report entitled “Financial Reform: A Framework for Financial Stability."

Treasury Market Practices Group releases fails charge trading practice to address excessive settlement fails in U.S. Treasuries

  • Alston & Bird LLP
  • -
  • USA
  • -
  • January 16 2009

The Treasury Markets Practices Group (TMPG), comprised of leading sell-side and buy-side participants in the U.S. Treasury market and sponsored by the Federal Reserve Bank of New York (FRBNY) and the Securities Industry and Financial Markets Association (SIFMA), yesterday published the U.S. Treasury Securities Fails Charge Trading Practice (the “Trading Practice”), as part of TMPG’s measures to remediate widespread settlement fails in the Treasury market

SEC adopts rules related to summary prospectus information and prospectus delivery options

  • Alston & Bird LLP
  • -
  • USA
  • -
  • January 16 2009

On January 13, 2009, the Securities and Exchange Commission (the “Commission”) adopted amendments to Form N-1A, the registration form for open-end investment companies or “mutual funds” (the “N-1A Amendments”), to ensure that investors have better access to key information typically considered when making informed investment decisions

SEC approves new guidance for Section 404 compliance, proposes rules to modernize smaller company capital-raising and disclosure requirements and adopts new rules for the Credit Rating Agency Reform Act

  • Alston & Bird LLP
  • -
  • USA
  • -
  • May 24 2007

At an open meeting on May 23, 2007, the Securities and Exchange Commission (SEC) took regulatory action in three different areas

SEC Inspector General releases report on SEC oversight of credit rating agencies

  • Alston & Bird LLP
  • -
  • USA
  • -
  • September 3 2009

On Friday, the Office of the Inspector General of the SEC released a report entitled "The SEC’s Role Regarding and Oversight of Nationally Recognized Statistical Rating Organizations (NRSROs)."

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