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Managing the risks and costs of e-discovery in regulatory investigations

Mayer Brown LLP
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USA
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November 30 2011

A financial institution is being investigated by the Securities and Exchange Commission (SEC) in connection with the institution’s role as trustee in certain residential mortgage-backed securitization (RMBS) transactions

SEC proposes conflict-of-interest rule for asset-backed securities

Mayer Brown LLP
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USA
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October 3 2011

The SEC has issued proposed Rule 127B pursuant to Section 621 of the Dodd-Frank Act

US Securities and Exchange Commission issues concept release and request for comments regarding investment company exclusion under Section 3(c)(5)(c) of the Investment Company Act of 1940

Mayer Brown LLP
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USA
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September 21 2011

On August 31, 2011, the United States Securities and Exchange Commission (SEC), in Release No. IC-29778 (Release), provides a concept release and requests public comments regarding mortgage-related pools, including certain real estate investment trusts (REITs) and issuers of mortgage-backed securities, that rely on the exclusion under Section 3(c)(5)(C) of the Investment Company Act of 1940 (ICA or 40 Act

SEC issues final rules regarding suspension of the duty of ABS issuers to file Exchange Act Reports

Mayer Brown LLP
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USA
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August 23 2011

On August 17, 2011, the US Securities and Exchange Commission (the “SEC”) issued final rules (the “Final Rules”)1 regarding the suspension of the duty of issuers of asset-backed securities (ABS) to file reports under the Securities Exchange Act of 1934 (the “Exchange Act Reports”

SEC re-proposes shelf eligibility conditions for asset-backed securities

Mayer Brown LLP
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USA
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August 4 2011

On July 26, 2011, the US Securities and Exchange Commission (the “SEC”) issued a re-proposal (the “Revised Proposal”) of the Form SF-3 shelf registration statement eligibility rules originally contained in the SEC’s massive Asset-Backed Securities rule proposed in April 2010 (the “Original Reg AB II Proposal”

Federal securities claims dismissed in In re Royal Bank of Scotland based on Morrison

Mayer Brown LLP
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USA
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February 11 2011

On January 11, 2011, Judge Deborah Batts of the Southern District of New York dismissed Section 10(b) and Rule 10b-5 claims brought by a putative class of US plaintiffs against Royal Bank of Scotland (RBS) and several underwriters and individuals

SEC adopts final rules related to issuer due diligence review of assets and disclosure of underwriting exceptions in public offerings of asset-backed securities

Mayer Brown LLP
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USA
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February 10 2011

On January 20, 2011, the US Securities and Exchange Commission (the "SEC") issued final rules requiring the issuer in a registered public offering of asset-backed securities to perform a due diligence review of the assets being securitized in that transaction and to disclose the nature of such review in the prospectus (the "Final Rules"

SEC adopts final rules related to representation and warranties in asset-backed securities offerings

Mayer Brown LLP
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USA
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January 31 2011

On January 20, 2011, the US Securities and Exchange Commission (the "SEC") issued final rules imposing extensive and potentially onerous reporting and disclosure requirements on issuers with respect to past and future repurchase or replacement activity arising from breaches of representations and warranties made in securitization transactions (the "Final Rules"

Cross-border structured finance and the rating agency web site rules

Mayer Brown LLP
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USA
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August 2 2010

New US regulations for nationally recognized statistical rating organizations (NRSROs) took effect earlier this year, with compliance required starting June 2, 2010

US SEC proposes massive ABS rule changes

Mayer Brown LLP
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USA
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April 8 2010

The US Securities and Exchange Commission has released a massive rulemaking proposal relating to asset-backed securities (ABS

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