News & Analysis as of September 17, 2024

Securities and Exchange Commission (SEC)

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The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +

The Justice Insiders Podcast: Meet the Securities and Exchange (and Human Resources) Commission

A Guide to the Credit Risk Retention Rules for Securitizations

Morgan Lewis on 7/15/2024

On October 21 and 22, 2014, pursuant to the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”), the Securities and Exchange Commission (the “SEC”) and various federal...more

SEC Adopts New Rule Prohibiting Conflicts of Interest in Certain Securitizations

Proskauer - Regulatory & Compliance on 12/8/2023

Following the financial crisis of 2007-2009 and Congressional investigations into the securitization market, the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 prohibited securitization participants from...more

Orrick's Financial Industry Week in Review

Orrick, Herrington & Sutcliffe LLP on 1/27/2016

SEC Reopens Comment Period for Proposed Amendments to Rule 13n-4 under the Securities Exchange Act of 1934 - On January 15, the Securities and Exchange Commission reopened the comment period for proposed amendments to...more

Prudential Regulators Release Final Margin Rules for Swaps

Cadwalader, Wickersham & Taft LLP on 10/26/2015

On October 22, 2015, the Federal Deposit Insurance Corporation held an open meeting at which it voted to adopt: (i) final rules governing margin and capital requirements for uncleared swaps and (ii) an interim final rule to...more

SEC Updates Compliance and Disclosure Interpretations for Legacy Deals

Orrick - Finance 20/20 on 9/29/2015

On September 16, the SEC released its updated compliance and disclosure interpretations for the rules adopted under Regulation AB, the Securities Act and the Exchange Act. Among others, the updated interpretation clarified...more

Potential Impact of New SEC Rules on Cell Tower Securitizations

Cadwalader, Wickersham & Taft LLP on 10/1/2014

On August 27, 2014, the Securities and Exchange Commission (the “SEC”) adopted two final rules implementing new regulations affecting asset-backed securities (“ABS”). The first set of rules, referred to in this memorandum as...more

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