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Results: 1-10 of 70

What’s left on the SEC’s rulemaking table?
  • Alston & Bird LLP
  • USA
  • October 10 2014

At an open meeting on August 27, 2014, the U.S. Securities and Exchange Commission (SEC) unanimously adopted final rules substantively revising the


Tara Castillo shares insight on SEC’s proposed Reg AB II rules
  • Alston & Bird LLP
  • USA
  • September 25 2012

In April 2010, the SEC proposed significant revisions to Regulation AB and other rules regarding the offering process, disclosure and reporting for asset-backed securities (“Reg AB II”


Credit risk retention Final Rule with focus on auto issuers
  • Alston & Bird LLP
  • USA
  • October 30 2014

On October 22, 2014, the Board of Governors of the Federal Reserve System, the Department of Housing and Urban Development, the Federal Deposit


SEC adopts the first part of final rules relating to Regulation AB II
  • Alston & Bird LLP
  • USA
  • August 28 2014

On August 27, 2014, at an open meeting, the U.S. Securities and Exchange Commission (SEC) unanimously adopted final rules substantially revising the


SEC adopts first rules required by Dodd-Frank
  • Alston & Bird LLP
  • 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


Regulator files petition and plans rehabilitation for segregated account of Ambac Assurance Corp
  • Alston & Bird LLP
  • USA
  • March 26 2010

Yesterday, Ambac Financial Group (Ambac) announced that its principal subsidiary Ambac Assurance Corporation (AAC), has established "a segregated account for certain of AAC's liabilities, primarily policies related to credit derivatives, residential mortgage-backed securities (RMBS) and other structured finance transactions" pursuant to the direction of the Wisconsin Office of the Commissioner of Insurance (OCI


SEC proposes to overhaul regulation of asset-backed securities
  • Alston & Bird LLP
  • 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


Federal Reserve issues report to Congress on risk retention required by Dodd-Frank
  • Alston & Bird LLP
  • USA
  • October 20 2010

Yesterday, the Federal Reserve issued a report outlining the "potential impact of credit risk retention requirements on securitization markets


SEC proposes rules regarding third-party due diligence reports and certifications for asset-backed securities
  • Alston & Bird LLP
  • 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


FINRA fines Deutsche Bank Securities $7.5 million for negligent misrepresentation and other violations in connection with subprime mortgage issuances
  • Alston & Bird LLP
  • USA
  • July 23 2010

Yesterday, the Financial Industry Regulatory Authority (FINRA) announced that it has fined Deutsche Bank Securities Inc. (Deutsche Bank) $7.5 million for negligently misrepresenting and underreporting delinquency data in connection with the issuance of subprime securities, failing to correct errors by third-party vendor and servicers, and failing to establish proper systems and controls to supervise its “reporting of required historical delinquency information.”