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Results: 1-10 of 1,623

The SEC and FINRA: protect your elders

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • May 15 2013

In April 2013, the SEC, in association with FINRA, held a Compliance Outreach Program for broker-dealers. The program included a panel that addressed

Due diligence procedures for structured note distributors

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • May 15 2013

Sections 11 and 12 are the main liability provisions under the Securities Act of 1933, as amended (the "Securities Act"). Section 11 covers

SEC discusses estimated value at Structured Products conference

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • May 15 2013

On May 2, 2013, Amy Starr, Chief of the SEC's Office of Capital Markets Trends, spoke by teleconference at Structured Products magazine's Americas

Securitisation and derivatives markets

  • Norton Rose Australia
  • -
  • Australia
  • -
  • May 14 2013

Consistent with an announcement made by the Federal Treasurer on 10 April 2013, the Government has confirmed that the Australian Office of Financial

Where there’s smoke, there’s FIRREA

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • May 14 2013

Few can ignite a legal firestorm like U.S. District Judge Jed Rakoff of the Southern District of New York. Last week, in a mortgage fraud suit

Assured and UBS agree to settle RMBS litigation for $358 million

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • May 13 2013

On May 6, monoline insurer Assured Guaranty Ltd. announced a $358 million settlement with UBS and its affiliates stemming from losses on residential

District Court denies Countrywide's motion to dismiss AIG suit

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • May 13 2013

On May 6, Judge Mariana Pfaelzer of the United States District Court for the Central District of California allowed American International Group, Inc

District Court denies banks' motions to dismiss litigation concerning role of MBS trustees

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • May 13 2013

On May 6, Judge Katherine Forrest of the United States District Court for the Southern District of New York denied Bank of America and U.S. Bank's

Second Circuit agrees to hear interlocutory appeal of key MBS litigation questions

  • BuckleySandler LLP
  • -
  • USA
  • -
  • May 13 2013

On May 7, the U.S. Court of Appeals for the Second Circuit granted two petitions seeking interlocutory appeal of key questions related to pending

Derivative product companies: a comparison of new rating agency guidelines

  • Cadwalader Wickersham & Taft LLP
  • -
  • USA
  • -
  • May 10 2013

Derivative product companies ("DPCs") are structured financial entities that act as intermediaries for, or guarantors of, an affiliated entity (the

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