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Searching Content indexed under Securities by Howard S. Altarescu ordered by Published Date Descending.
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1
'40 Act Leeway For Mortgage REITS And Others
The SEC Investment Management Division published a no-action letter on August 15 addressed to Redwood Trust that provides a certain degree of Section 3(c)(5)(C) compliance leeway for mortgage REITs and mortgage bankers.
United States
21 Aug 2019
2
European Commission Publishes Consultation Paper On Capital Markets Union (CMU) Mid-Term Review
The European Commission published a paper (dated January 20, 2017) requesting feedback and general input on revisions to the CMU action plan.
European Union
31 Jan 2017
3
Credit Risk Transfer: Making A Successful Program Even Better
On February 10, Howard Altarescu participated in the Urban Institute / CoreLogic Sunset Seminar, " Credit Risk Transfer: Making a Successful Program Even Better."
United States
17 Feb 2016
4
Mel Watt Of FHFA Discusses The Common Securitization Platform And Credit Risk Transfers
In a recent speech, Federal Housing Finance Agency (FHFA) director Melvin Watt discussed key FHFA initiatives for 2016.
United States
28 Oct 2015
5
Financial Industry Week In Review - April 13, 2015
On April 7, DBRS released its Cash Flow Assumptions for Corporate Credit Securitizations Methodology.
Worldwide
22 Apr 2015
6
Financial Industry Week In Review - March 30, 2015
On March 26, the CFPB announced that it is considering stronger consumer protections relating to payday loans, vehicle title loans, deposit advance products, and certain high-cost installment loans and open-end loans
United States
22 Apr 2015
7
Council Of EU Agrees General Approach On Proposed Regulation On Securities Financing Transactions
On November 20, the Council of the EU published a press release reporting that its Permanent Representatives Committee (COREPER) has agreed its approach on a draft regulation on reporting and transparency of securities financing transactions (SFTs) (the SFT Regulation).
United States
10 Dec 2014
8
SECís Office Of Investor Education And Advocacy Provides An Overview Of How The Division Of Enforcement Conducts Investigations
SECís Office of Investor Education and Advocacy issued an Investor Bulletin with a general overview of how the SECís Division of Enforcement conducts investigations.
United States
31 Oct 2014
9
ESMA Publishes Responses To Consultations On MAR
The European Securities and Markets Authority published responses that it received to consultations published in July 2014 relating to the Market Abuse Regulation.
European Union
31 Oct 2014
10
MSRB Creates Supervision And Compliance Requirements For Municipal Advisors
The Municipal Securities Rulemaking Board received approval from the SEC to create the first new rule for municipal advisors since the SEC released its final registration rule.
United States
31 Oct 2014
11
EU Regulation On Improving Securities Settlement And Regulating Central Securities Depositories Published In The EU Official Journal
The text of the Regulation on improving securities settlement and regulating central securities depositories (Regulation 909/2014) was published.
European Union
14 Sep 2014
12
SEC Launches Municipal Advisor Exam Initiative
On August 19, the SEC Announced a Municipal Advisor Exam Initiative for newly registered municipal advisors.
United States
3 Sep 2014
13
Guaranty Bank RMBS Lawsuits Dismissed As Time-Barred
Judge Sam Sparks of the United States District Court granted judgment to defendants in two related cases filed by the FDIC on behalf Guaranty Bank.
United States
2 Sep 2014
14
Goldman Reaches Settlement With FHFA
Goldman Sachs and FHFA announced a US$3.15 billion settlement of claims brought by FHFA against Goldman in two separate lawsuits related to RMBS.
United States
2 Sep 2014
15
Judge Rakoff Approves SECís $285M Settlement With Citigroup
On remand following a Second Circuit decision vacating his June 2011 rejection of a settlement between Citigroup and the SEC, Judge Jed Rakoff of the Southern District of New York approved the settlement, finding that it met the requirements articulated by the Second Circuit.
United States
19 Aug 2014
16
FHFA Wins Summary Judgment That It Did Not Have Actual Knowledge Of RMBS Misrepresentations
On July 30, Judge Denise Cote granted the motion for partial summary judgment brought by FHFA, as conservator for Fannie Mae and Freddie Mac.
United States
7 Aug 2014
17
SEC Enforcement Division Modifies Municipalities Disclosure Initiative
On July 31, the SEC announced modifications to its Municipalities Continuing Disclosure Cooperation (MCDC) Initiative.
United States
7 Aug 2014
18
Central Securities Depositories Regulation (CSDR) Update
The Council of the EU announced that it had adopted the CSDR on improving securities settlement and regulating central securities depositories.
United States
1 Aug 2014
19
SEC Sends Wells Notice To S&P Concerning MBS Ratings
The SEC made a preliminary determination to recommend that the SEC institute an enforcement action against S&P alleging violation of federal securities laws.
United States
1 Aug 2014
20
SEC Proposes Removing Credit Rating References And Amending Issuer Diversification Requirement
The SEC re-proposed amendments related to the removal of credit rating references in rule 2a-7 and Form N-MFP of the Investment Company Act.
United States
31 Jul 2014
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