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FHFA progress report on the common securitization infrastructure

Winston & Strawn LLP
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USA
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May 6 2013

On April 30th, the Federal Housing Finance Agency provided a progress report on its proposal for Fannie Mae and Freddie Mac to establish a "common

Reduction of reporting times for agency pass-through MBS traded TBA

Winston & Strawn LLP
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USA
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April 22 2013

On April 17th, the Financial Industry Regulatory Authority reminded firms of the coming reduction in reporting periods for the timely reporting of

TRACE reporting amendments

Winston & Strawn LLP
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USA
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April 22 2013

On April 16th, the Financial Industry Regulatory Authority announced that the SEC has approved amendments to FINRA Rule 6730(d)(2) to require firms

Registration relief for certain investors in legacy securitizations

Winston & Strawn LLP
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USA
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January 7 2013

On December 21st, DSIO advised it will not recommend enforcement action against the commodity pool operators of investment pools that invest in

Additional TRACE reporting requirement proposed

Winston & Strawn LLP
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USA
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December 17 2012

On December 12th, the SEC provided notice of the Financial Industry Regulatory Authority's filing of a proposed rule change to require members to report the Factor to TRACE in Asset-Backed Security transactions (except an Asset-Backed Security traded TBA), in the limited instances when members effect such transactions as agent and charge a commission

CFTC implications for securitizations

Winston & Strawn LLP
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USA
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December 10 2012

More recently, industry representatives have communicated their concerns that certain investments in securitization vehicles may expose firms to registration requirements as commodity pool operators

IOSCO reports on the regulation of securitizations

Winston & Strawn LLP
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Global
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December 3 2012

On November 16th, the International Organization of Securities Organizations published a final report entitled "Global Developments in Securitization Regulation," which makes recommendations on the development of a sound and sustainable securitization market

Court denies motion in Goldman Sachs CDO case

Winston & Strawn LLP
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USA
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December 3 2012

On November 19th, the U.S District Court discussed whether it has jurisdiction over certain Rule 10b-5 claims asserted by the SEC against former Goldman Sachs executive Fabrice Tourre, who allegedly fraudulently structured a collateralized debt obligation offered by a Cayman Islands issuer and bought by a German bank

Order extending temporary conditional exemption for NRSROs from requirements of Rule 17g-5 under the Securities Exchange Act of 1934

Winston & Strawn LLP
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USA
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December 3 2012

On November 26th, the SEC extended to December 2, 2013, its conditional exemption which provides that nationally recognized statistical rating organizations ("NRSRO") are not required to comply with Securities and Exchange Act Rule 17g-5(a)(3) with respect to credit ratings where the issuer of the structured finance product is a non-U.S. person; and the NRSRO has a reasonable basis to conclude that the structured finance product will be offered and sold upon issuance, and that any arranger linked to the structured finance product will effect transactions of the structured finance product after issuance only in transactions that occur outside the U.S

Agency pass-through MBS

Winston & Strawn LLP
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USA
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November 19 2012

On November 13th, the Financial Industry Regulatory Authority ("FINRA") noted that on November 12, 2012, the amendments to the FINRA Rule 6700 Series and TRACE dissemination protocols regarding the reporting and dissemination of transactions in TRACE-eligible securities that are agency pass-through mortgage-backed securities that are traded to be announced ("TBA") became effective

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