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1
White Collar Roundup - February 2019
The U.S. Attorney's Office for the District of New Jersey reported here it has charged two Ukrainian men "for their roles in a large-scale, international conspiracy to hack into the SEC's computer system and profit...
United States
8 Feb 2019
2
How To Navigate New Jersey's Foreclosure Crisis
Joy Harmon Sperling wrote an article, "How to Navigate New Jersey's Foreclosure Crisis," for Mortgage Daily.
United States
9 Sep 2016
3
FASB Adopts New Rule for Banks' Calculation of Loan Losses
On June 16, the Financial Accounting Standards Board (FASB) issued a final accounting rule that provides for different financial reporting of loan losses.
United States
20 Jun 2016
4
Disclose Bank Loans To Standard & Poor's Or Risk Rating Withdrawal
This month, Standard & Poor's Ratings Services ("S&P") sent letters to all issuers of the bonds it rates advising the issuers to provide all relevant documentation related to any private debt, including bank loan financing, that the issuer enters into.
United States
22 May 2014
5
First Circuit Requires District Court Of Rhode Island To Justify Foreclosure Stay
In compliance with the First Circuit's ruling, the district court has set a hearing on the question of whether the stay met the requirements for the issuance of an injunction and has invited suggestions from the parties as to time and expense limitations for the mediation process in the event the stay is continued.
United States
4 Jul 2013
6
First Circuit Rules MERS Can Assign Mortgages And Borrowers Can Challenge Standing
In a decision that has sparked a great deal of discussion, the U.S. Court of Appeals for the First Circuit recently decided a borrower has standing to raise certain challenges to the assignment of his or her mortgage from Mortgage Electronic Registration Systems, Inc. (MERS) to a lender.
United States
4 Mar 2013
7
JOBS Act - On Regulation A, Regulation D And Crowdfunding Provisions
After a comparatively brief debate in Congress, President Obama signed the Jumpstart Our Business Startups Act (JOBS Act) on April 5, 2012.
United States
23 Apr 2012
8
Traps For The Unwary - Negotiating The Nasdaq Shareholder Approval Rules For Securities Offerings
You're planning a capital raise for a Nasdaq-listed issuer. In preparing for the offering, you review Nasdaq Rule 5635(d), which sets forth the circumstances under which shareholder approval is required.
United States
18 Apr 2012
9
Updated SEC Guidance On The Family Office Exclusion
Family offices are entities established by wealthy families to manage their wealth, plan for their families' financial future, engage in investment opportunities and provide other services to family members.
United States
18 Apr 2012
10
Congress Passes JOBS Bill For Emerging Growth Companies
Congress passed the Jumpstart Our Business Startups Act (the "JOBS Act") today with the stated intention of making it easier for emerging growth companies to raise capital and, as a result, to increase employment. President Obama is expected to sign the bill promptly.
United States
18 Apr 2012
11
Volcker Rule Requirements For Community Banks
On November 7, 2011, the federal bank regulatory agencies together with the Securities and Exchange Commission issued in the Federal Register proposed regulations implementing Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
12 Dec 2011
12
SEC Crackdown On Investment Adviser Compliance Deficiencies
The Securities and Exchange Commission (the "SEC") is cracking down on firms with compliance deficiencies under the Investment Advisers Act of 1940, as amended (the "Advisers Act").
United States
6 Dec 2011
13
Newly Adopted Fund Manager Reporting Obligations
On October 26, 2011, the Securities and Exchange Commission (the "SEC") adopted new Rule 204(b)-1 under the Investment Advisers Act of 1940, as amended (the "Advisers Act"), which requires certain federally registered investment advisers that serve as managers to hedge funds and private equity funds to make periodic filings on new Form PF with the SEC.
United States
9 Nov 2011
14
SEC Adopts Rules Implementing Dodd-Frank Investment Adviser Registration And Exemption Requirements
The Securities and Exchange Commission ("SEC") recently issued final rules and rule amendments implementing certain provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank") that amend the Investment Advisers Act of 1940, as amended ("Advisers Act").
United States
13 Jul 2011
15
Supreme Court Limits Primary Liability Under Rule 10(b)(5)
A divided United States Supreme Court issued its highly anticipated ruling yesterday in Janus Capital Group, Inc. v. First Derivative Traders, Case No. 09-525, holding that Janus Capital Management ("JCM"), the investment advisor to a series of mutual funds known as the Janus Investment Fund (the "Fund"), did not "make" the misstatements contained in the Fund's prospectuses it helped to prepare and, therefore, cannot be held primarily liable under Section 10(b) of the Securities Exchange Act of
United States
17 Jun 2011
16
SEC Issues Rules Establishing Whistleblower Program
The Securities and Exchange Commission ("SEC") has recently adopted rules implementing the whistleblower provisions of the Dodd-Frank Act.
United States
13 Jun 2011
17
Securities Fraud Litigation: The Avoidance of Rubber-Stamping and Proper Disclosure
A motion to dismiss an SEC enforcement action was denied recently by the District Court of Nebraska in "SEC v. Das". The SEC's eight-count complaint alleges fraud and other misconduct by two former chief financial officers ("CFOs") of InfoUSA Inc. (now InfoGroup Inc.; the "Company") over a four-year period.
United States
16 Dec 2010
18
SEC Proposes Rules on Investment Adviser Registration
The SEC recently issued proposed rules and rule amendments under the Investment Advisers Act of 1940 (the "Advisers Act") that would give effect to certain provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act").
United States
13 Dec 2010
19
Expiration of Certain Municipal Bond Tax Provisions
In the absence of congressional action, many tax laws affecting municipal bonds will change significantly at the end of this year.
United States
 
2 Dec 2010
20
Guidance for 2011 Proxy Season
Following the enhanced disclosures required in the 2010 proxy season by the Securities and Exchange Commission ("SEC"), additional disclosures for the 2011 proxy season relating to corporate governance and executive compensation have been mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act").
United States
 
2 Dec 2010
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