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Knowledge Bank > Legal > Securities Laws
 View Section Contributors
  •  
  • Summary of the US SEC's ABS Rule Change Proposal, Mayer Brown LLP (4/21/2010)
  •  
  • Asset-Backed Securities: Proposed Rules, U.S. Securities & Exchange Commission (5/3/2010)
  •  
  • US SEC Proposes Massive ABS Rule Changes, Mayer Brown LLP (4/8/2010)
  •  
  • US SEC Adopts Amendments to Rule 2a-7 Affecting Money Market Funds, Mayer Brown LLP (4/7/2010)
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  • Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities, U.S. Securities & Exchange Commission (10/19/2009)
  •  
  • Agencies seek comment on proposed regulatory capital standards related to adoption of Statements of Financial Accounting Standards No. 166 and 167, Board of Governors of the Federal Reserve System (8/26/2009)
  •  
  • SEC Votes to Propose Rules Enhancing Municipal Securities Disclosure, U.S. Securities & Exchange Commission (7/15/2009)
  •  
  • FASB Issues Statements 166 and 167 Pertaining to Securitizations and Special Purpose Entities, Financial Accounting Standards Board (FASB) (6/12/2009)
  •  
  • Notice Of Filing Of Amendment To Rule G-8, On Books And Records, Relating To Auction Rate Securities And Variable Rate Demand Obligations
    ( Municipal Securities Rulemaking Board (MSRB) ) (4/28/2009)
  •  
  • US Securities and Exchange Commission Considers New Short Selling Regulation, Mayer Brown LLP (4/15/2009)
  •  
  • Technical Amendments to Rules, Forms, Schedules and Codification of Financial Reporting Policies, U.S. Securities & Exchange Commission (4/15/2009)
  •  
  • Adoption of Updated EDGAR Filer Manual, U.S. Securities & Exchange Commission (4/8/2009)
  •  
  • Securities Update: SEC Adopts Mandatory Use of Interactive Data for Financial Reporting, Mayer Brown LLP (2/24/2009)
  •  
  • Proposed Law Would Require SEC Registration and Filings, and Anti-Money Laundering Procedures for Certain Private Investment Funds (and Possibly SEC Registration for their Advisers), Mayer Brown LLP (2/5/2009)
  •  
  • Temporary Exemptions For Eligible Credit Default Swaps To Facilitate Operation Of Central Counterparties To Clear And Settle Credit Default Swaps, U.S. Securities & Exchange Commission (1/14/2009)
  •  
  • Indexed Annuities and Certain Other Insurance Contracts, U.S. Securities & Exchange Commission (1/9/2009)
  •  
  • SEC Approves Exemptions to Allow Central Counterparty for Credit Default Swaps, U.S. Securities & Exchange Commission (12/23/2008)
  •  
  • SEC, MSRB: New Measures to Provide More Transparency Than Ever Before for Municipal Bond Investors, U.S. Securities & Exchange Commission (12/8/2008)
  •  
  • Financial Services Industry : 2008 Accounting, Financial Reporting, Tax, and Regulatory Update, Deloitte & Touche LLP (12/5/2008)
  •  
  • Reflecting the Impact of Recent Market Developments in Upcoming SEC Reports, Mayer Brown LLP (10/20/2008)
  •  
  • SEC Takes Formal Rulemaking Action Regarding Short Sales, Mayer Brown LLP (10/16/2008)
  •  
  • SEC Adopts Final Rules Affecting Cross-Border Tender Offers, Exchange Offers, Rights Offerings and Business Combination Rules, Mayer Brown LLP (10/15/2008)
  •  
  • Securities and Exchange Commission Holds Roundtable Discussion on 21st Century Disclosure Initiative, Mayer Brown LLP (10/14/2008)
  •  
  • Process For Selecting Asset Managers Pursuant To The Emergency Economic Stabilization Act Of 2008, U.S. Department of the Treasury (10/6/2008)
  •  
  • Statement of Securities and Exchange Commission Concerning Short Selling, U.S. Securities & Exchange Commission (10/1/2008)
  •  
  • SEC Halts Short Selling of Financial Stocks to Protect Investors and Markets, U.S. Securities & Exchange Commission (9/19/2008)
  •  
  • ASF Opposes Changes to Shelf Registration and Money Market Fund Rules Applicable to Securitizations; Encourages SEC to Retain References to Credit Ratings in Regulations, American Securitization Forum (9/8/2008)
  •  
  • Regulation R: Exceptions for Banks from the Definition of Broker in the Securities Exchange Act of 1934 - A Small Entity Compliance Guide, Board of Governors of the Federal Reserve System (8/29/2008)
  •  
  • Securities Update: SEC Issues Updated Guidance on Company Web Sites, Mayer Brown LLP (8/12/2008)
  •  
  • SEC Emergency Orders on Short Selling
    ( Financial Industry Regulatory Authority (FINRA) ) (7/23/2008)
  •  
  • Securitization Update: SEC Proposes to Reduce Reliance on Credit Ratings in its Rules and Forms, Mayer Brown LLP (7/8/2008)
  •  
  • SEC Publishes Proposals to Increase Investor Protections by Reducing Reliance on Credit Ratings, U.S. Securities & Exchange Commission (7/1/2008)
  •  
  • SEC Proposes New Rules That Would Mandate Use of Interactive Data to Improve Financial Reporting, Mayer Brown LLP (6/20/2008)
  •  
  • Proposed Rules for Nationally Recognized Statistical Rating Organizations, U.S. Securities & Exchange Commission (6/16/2008)
  •  
  • Securities Update: SEC's Division of Corporation Finance Issues Consolidated and Updated Interpretations on Form 8-K, Mayer Brown LLP (4/28/2008)
  •  
  • Corporate & Securities Update: SEC Allows Foreign Private Issuers to File Financial Statements Without U.S. GAAP Reconciliation, Mayer Brown LLP (4/2/2008)
  •  
  • Blueprint for a Modernized Financial Regulatory Structure, U.S. Department of the Treasury (3/31/2008)
  •  
  • Capital Markets Update: SEC Revises Form D; Mandates Electronic Filing, Mayer Brown LLP (2/29/2008)
  •  
  • Exemption From Registration Under Section 12(g) of The Securities Exchange Act of 1934 For Foreign Private Issuers, U.S. Securities & Exchange Commission (2/19/2008)
  •  
  • Strengths and Weaknesses in Securities Market Regulation: A Global Analysis
    ( Ana Carvajal and Jennifer Elliott ) , International Monetary Fund (IMF) (2/4/2008)
  •  
  • The 2007 Mortgage Relief Act, PricewaterhouseCoopers LLP -- Structured Finance Group (1/25/2008)
  •  
  • SEC Disclosures with Respect to Off-Balance Sheet Entities, Mayer Brown LLP (1/24/2008)
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  • Securities Update: SEC Rule 144 Amendments Make of Restricted Securities Easier, Mayer Brown LLP (1/16/2008)
  •  
  • Servicing Considerations for Securitized Sub-Prime Loans, PricewaterhouseCoopers LLP -- Structured Finance Group (1/9/2008)
  •  
  • SEC Publishes Text of RAND Report on Investment Adviser, Broker-Dealer Industries, U.S. Securities & Exchange Commission (1/3/2008)
  •  
  • Modifications of Securitized Subprime Mortgage Loans, Mayer Brown LLP (12/20/2007)
  •  
  • Banking and Securities Issue Briefng: The SEC's Consolidated Supervision Program and Bank-Owned Securities Firms, Deloitte & Touche LLP (12/18/2007)
  •  
  • Proposed changes to Regulation Z to protect consumers from unfair or deceptive home mortgage lending and advertising practices, Board of Governors of the Federal Reserve System (12/18/2007)
  •  
  • SEC Considers Tighter Deadlines For ABS Filings, Total Securitization -- Institutional Investor News (12/7/2007)
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  • Streamlined Foreclosure and Loss Avoidance Framework for Securitized Subprime Adjustable Rate Mortgage Loans, American Securitization Forum (12/6/2007)
  •  
  • SEC Adopts Staff Position on Shareholder Access; Encourages Electronic Shareholder Forums, Mayer Brown LLP (11/29/2007)
  •  
  • SECÿAdoptsÿAmendmentsÿToÿRuleÿ144ÿAndÿRuleÿ145,ÿAmongÿOtherÿActionsÿ, Mayer Brown LLP (11/16/2007)
  •  
  • Mortgage Reform and Anti-Predatory Lending Act of 2007 (H.R. 3915)
    ( U.S. House of Representatives, 110th Congress, 1st Session ) (11/15/2007)
  •  
  • SEC Votes to Propose Improvement of Mutual Fund Disclosure, U.S. Securities & Exchange Commission (11/15/2007)
  •  
  • Research Uncovers Key Initiatives That Turn SOX Compliance Into a Strategic Advantage
    ( Jefferson Wells & APQC ) (11/12/2007)
  •  
  • SEC in Focus, Ernst & Young LLP (11/1/2007)
  •  
  • SEC, FINRA Launch New Initiative to Assist Chief Compliance Officers at Broker-Dealer Firms, U.S. Securities & Exchange Commission (10/30/2007)
  •  
  • Securities Update: Advance Planning for 2008 Proxy and Annual Report Season, Mayer Brown LLP (10/10/2007)
  •  
  • Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules, U.S. Securities & Exchange Commission (9/24/2007)
  •  
  • SEC Votes for Final Rules Defining How Banks Can Be Securities Brokers, U.S. Securities & Exchange Commission (9/19/2007)
  •  
  • E-Proxy: Understanding the New Delivery Options for the 2008 Proxy Season, Mayer Brown LLP (8/24/2007)
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  • SEC Facilitates Exit from US Securities Regulation by Non-US Issuers, Mayer Brown LLP (7/9/2007)
  •  
  • Credit Rating Agencies Apply for Registration as Nationally Recognized Statistical Rating Organizations, U.S. Securities & Exchange Commission (6/28/2007)
  •  
  • Securitization & Real Estate Update 6/14/07, Nomura Securities International, Inc. (6/14/2007)
  •  
  • SEC Approves New Guidance for Compliance with Section 404 of Sarbanes-Oxley, U.S. Securities & Exchange Commission (5/23/2007)
  •  
  • Securities Issue Briefing: Changes in Options Symbology, Deloitte & Touche LLP (5/23/2007)
  •  
  • U.S. Structured Finance Newsletter, DBRS (4/30/2007)
  •  
  • Researching the Federal Securities Laws Through the SEC Website, U.S. Securities & Exchange Commission (4/27/2007)
  •  
  • SEC Commissioners Endorse Improved Sarbanes-Oxley Implementation To Ease Smaller Company Burdens, Focusing Effort On 'What Truly Matters', U.S. Securities & Exchange Commission (4/5/2007)
  •  
  • U.S. Equity Markets for Foreign Issuers: Public Offerings and Rule 144A Placements of American Depositary Receipts, Mayer Brown LLP (4/5/2007)
  •  
  • Termination of a Foreign Private Issuer's Registration of a Class of Securities Under the Exchange Act, U.S. Securities & Exchange Commission (3/28/2007)
  •  
  • Securities Issue Briefing: Proposed Amendments to the Financial Responsibility Rules Securities Exchange Act Release No. 34-55431, Deloitte & Touche LLP (3/21/2007)
  •  
  • Report from Las Vegas 2007: Coverage of Selected Sessions of ASF 2007, Nomura Securities International, Inc. (2/5/2007)
  •  
  • Odds Improve for Reg-AB Guidance in Vegas, Asset Backed Alert, Harrison Scott Publications Inc. (1/26/2007)
  •  
  • SEC Staff Discusses Application of Paragraphs 14-28 of EITF 00-19, Ernst & Young LLP (1/5/2007)
  •  
  • SEC Rulemaking: Hedge Funds, Deloitte & Touche LLP (12/22/2006)
  •  
  • SEC Clarifies Tender Offer Best Price Rule, Mayer Brown LLP (11/14/2006)
  •  
  • Reg AB Is Here to Stay: What does this mean for servicers?, PricewaterhouseCoopers LLP -- Structured Finance Group (10/31/2006)
  •  
  • Securities Issue Briefing: Trade Reporting. What Broker-Dealers Need to Know, Deloitte & Touche LLP (10/30/2006)
  •  
  • Regulation AB and Offering Reform: Lessons Learned, Stuart M. Litwin, Mayer Brown LLP (8/30/2006)
  •  
  • Market Cheers New Reg AB Reporting Advice, Asset Backed Alert, Harrison Scott Publications Inc. (8/11/2006)
  •  
  • SEC Offers Further Relief From Section 404 Compliance for Smaller Public Companies and Many Foreign Private Issuers, U.S. Securities & Exchange Commission (8/9/2006)
  •  
  • Manual of Publicly Available Telephone Interpretations
    ( SEC Division of Corporation Finance ) , U.S. Securities & Exchange Commission (8/7/2006)
  •  
  • SEC Interpretive Guidance re: Section 28(e)of the Securities Exchange Act of 1934, Mayer Brown LLP (8/7/2006)
  •  
  • Legislation Broadens Ability to Market Asset-Backed Securities and Collateralized Debt Obligations to Certain Retirement Plans and Hedge Funds, Mayer Brown LLP (8/4/2006)
  •  
  • Emerging Debate Gums Up FAS 140 Project, Asset Backed Alert, Harrison Scott Publications Inc. (7/28/2006)
  •  
  • Accounting Changes Shape Securitisation, Global Legal Group, Ltd. (7/12/2006)
  •  
  • SEC Moves Forward on Sarbanes-Oxley 404 Improvements, U.S. Securities & Exchange Commission (7/11/2006)
  •  
  • Malta's New Securitisation Law
    ( Dr. Frank Chetcuti Dimech ) , CDF Advocates (6/5/2006)
  •  
  • Capital Markets Update: SEC Substantially Reduces Filing and Transaction Fees, Mayer Brown LLP (5/9/2006)
  •  
  • SEC Announces Billion Dollar Fee Cut to Benefit Investors, U.S. Securities & Exchange Commission (5/3/2006)
  •  
  • U.S. Treasury Requests Public Comment on Securities Lending Facility, U.S. Department of the Treasury (4/26/2006)
  •  
  • Notice of Proposed Rulemaking to implement Basel II, Federal Reserve Board (3/30/2006)
  •  
  • VantageScore(sm) vs. FICO, Nomura Securities International, Inc. (3/16/2006)
  •  
  • Constitutional Legal Challenge to Sarbanes-Oxley Act, RiskCenter.com (2/10/2006)
  •  
  • Reg AB: Static Pool Survey and Structural Diagrams of Flow of Funds, Deloitte & Touche LLP (2/2/2006)
  •  
  • FASB Looks Hard At CMBS Servicing, Total Securitization -- Institutional Investor News (1/27/2006)
  •  
  • Banks Worry as US Stalls Over Basel II, RiskCenter.com (1/23/2006)
  •  
  • Disclosure Rules to Inflate Trustee Costs, Asset Backed Alert, Harrison Scott Publications Inc. (1/20/2006)
  •  
  • Congress Pounds Away at Rating-Agency Law, Asset Backed Alert, Harrison Scott Publications Inc. (12/23/2005)
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  • SEC Logjam Could Delay Early 2006 Offerings, Asset Backed Alert, Harrison Scott Publications Inc. (12/9/2005)
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  • SEC Plays Coy On Key Issues, Total Securitization -- Institutional Investor News (12/9/2005)
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  • SEC Votes to Propose Rule to Provide Investors with Internet Availability of Proxy Materials, U.S. Securities & Exchange Commission (11/29/2005)
  •  
  • IIF Releases Report on Basel II Outstanding Issues (11/14/2005)
  •  
  • Clarification of the Application of Paragraphs 40(b) and 40(c) of FASB Statement No. 140, Financial Accounting Standards Board (FASB) (11/9/2005)
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  • Staff Statement on Certain Programming Changes to EDGAR for Issuers of Asset-Backed Securities, U.S. Securities & Exchange Commission (11/7/2005)
  •  
  • Adoption of Updated EDGAR Filer Manual, U.S. Securities & Exchange Commission (11/7/2005)
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  • SEC: Use Your Judgment On Delinquency Reporting For Reg AB, Total Securitization -- Institutional Investor News (11/4/2005)
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  • Regulations Put Additional Demands on Legacy Systems, RiskCenter.com (11/1/2005)
  •  
  • What Is Structured Finance?
    ( Andreas A. Jobst ) , Federal Deposit Insurance Corporation (FDIC) (10/20/2005)
  •  
  • Banking Agencies Announce Revised Plan for Implementation of Basel II Framework, Federal Reserve Board (9/30/2005)
  •  
  • Regulation AB: Reducing Barriers to the U.S. Public Capital Markets Faced by Foreign Issuers of Asset-Backed Securities
    ( Christopher B. Horn ) , Mayer Brown LLP (9/27/2005)
  •  
  • Securities Offering Reform Transition Questions and Answers, U.S. Securities & Exchange Commission (9/13/2005)
  •  
  • Banks Slow in Making Progress Toward Basel II Compliance, RiskCenter.com (9/1/2005)
  •  
  • FASB Issues Revised Exposure Draft on Accounting for Transfers of Financial Assets, Financial Accounting Standards Board (FASB) (8/11/2005)
  •  
  • SEC's Securities Offering Reform - Impact on the ABS Markets, Thacher, Proffitt & Wood (8/5/2005)
  •  
  • Corporations Challenged to Balance Sarbanes-Oxley with Ongoing Auditing, RiskCenter.com (8/4/2005)
  •  
  • Rulemaking for EDGAR System, U.S. Securities & Exchange Commission (7/21/2005)
  •  
  • Securitization Accounting: The Ins and Outs (And Some Do's and Don'ts) of FASB 140, FIN 46R, IAS 39 and More . . ., Deloitte & Touche LLP (7/21/2005)
  •  
  • Securities Offering Reform
    ( 468 pages ) , U.S. Securities & Exchange Commission (7/19/2005)
  •  
  • Use of Form S-8, Form 8-K, and Form 20-F by Shell Companies, U.S. Securities & Exchange Commission (7/15/2005)
  •  
  • Sarbanes-Oxley, How to Avoid Costly Mistakes, RiskCenter.com (7/11/2005)
  •  
  • The Introduction of a Refinance Register provides additional Comfort to German True Sale Securitizations, Mayer Brown LLP (7/8/2005)
  •  
  • Latest Test Run of Basel II Raises Troubling Issues for Regulators, RiskCenter.com (7/6/2005)
  •  
  • Banking & Finance Update - Ein weiterer Schritt zur St„rkung des deutschen Verbriefungsmarktes: Die Einfhrung, Mayer Brown LLP (7/1/2005)
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  • SEC Forms Advisory Committee in Response to Sarbanes Drain on Small Companies, RiskCenter.com (6/20/2005)
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  • Benefits and Challenges of Sarbanes-Oxley Compliance, RiskCenter.com (6/10/2005)
  •  
  • EDGARLink Filer Manual (Vol I-III) Rel 9.0, U.S. Securities & Exchange Commission (6/6/2005)
  •  
  • SEC Comments on Implementation of Internal Control Reporting Requirements, U.S. Securities & Exchange Commission (5/16/2005)
  •  
  • Sarbox Risk - Study Underway to Assess Total Cost of Internal Controls Over Financial Reporting, RiskCenter.com (5/6/2005)
  •  
  • Accounting Changes Shape Securitisation, Global Legal Group, Ltd. (4/25/2005)
  •  
  • A practical insight to cross-border Securitisation Law
    ( Printed and reproduced with kind permission of Global Legal Group Ltd., London ) , Global Legal Group, Ltd. (4/20/2005)
  •  
  • Regulation AB A Positive, But Not Without Growing Pains for U.S. SF Issuers, Fitch Ratings (4/19/2005)
  •  
  • The European Union Prospectus Directive and the Channel Islands Stock Exchange
    ( Mark Lewis, Bailhache Labesse ) , Lord/SPV (4/14/2005)
  •  
  • Impacts of BASEL II Capital Standards on U.S. Mortgage Rates and Mortgage Securitization, Federal Reserve Board (4/12/2005)
  •  
  • First-Time Application of International Financial Reporting, U.S. Securities & Exchange Commission (4/12/2005)
  •  
  • Basel, China Continues to Face Challenges, RiskCenter.com (4/8/2005)
  •  
  • Analysts Concerned About Potential Negative Impact of Sarbanes-Oxley, RiskCenter.com (3/31/2005)
  •  
  • Financial Institutions Report Few Material Weaknesses Under Sarbanes-Oxley Section 404; No Expected Ratings Implications, Standard & Poor's (3/15/2005)
  •  
  • The Bond Market Association and the A.S.F. Applaud the Responsible Lending Act, American Securitization Forum (3/15/2005)
  •  
  • Operational Risk Still a Top Concern for Securitization Professionals, RiskCenter.com (3/10/2005)
  •  
  • SEC Extends Compliance Dates for Non-Accelerated Filers and Foreign Private Issuers, U.S. Securities & Exchange Commission (3/2/2005)
  •  
  • Sarbanes-Oxley Section 404: The 'Section' of Unintended Consequences and Its Impact on Small Business, American Electronics Association (2/11/2005)
  •  
  • Crunch time for Sarbanes-Oxley, RiskCenter.com (2/10/2005)
  •  
  • Application of Accounting Principles To Loan Commitments
    ( SEC Staff Accounting Bulletin 105 ) , PricewaterhouseCoopers LLP -- Structured Finance Group (2/4/2005)
  •  
  • Adoption of Updated EDGAR Filer Manual, U.S. Securities & Exchange Commission (2/3/2005)
  •  
  • Market Players at Odds Over SEC Proposal, Asset Backed Alert, Harrison Scott Publications Inc. (1/28/2005)
  •  
  • Securities Update - SEC Adopts Final Rules for Asset-Backed Securities, Mayer Brown LLP (1/25/2005)
  •  
  • Proposed Rule: Fair Administration and Governance of Self-Regulatory Organizations, U.S. Securities & Exchange Commission (1/11/2005)
  •  
  • Sarbanes-Oxley Corporate Reform Measure Under Attack, RiskCenter.com (1/5/2005)
  •  
  • ABS/MBS Disclosure Update #6: 24 Steps to Tighter ABS - Regulation AB, Nomura Securities International, Inc. (12/27/2004)
  •  
  • Asset-Backed Securities: Final Rule, U.S. Securities & Exchange Commission (12/22/2004)
  •  
  • SEC Wraps Up Disclosure-Framework Debate, Asset Backed Alert, Harrison Scott Publications Inc. (12/17/2004)
  •  
  • Securities Update: SEC Proposes Securities Act Reform, Mayer Brown LLP (12/17/2004)
  •  
  • Issuers Befuddled by Murky Rules on Remics, Asset Backed Alert, Harrison Scott Publications Inc. (12/3/2004)
  •  
  • SEC Finalizes Rules on Hedge Fund Registration, RiskCenter.com (11/22/2004)
  •  
  • SEC Proposes to Ease Disclosure Process, Asset Backed Alert, Harrison Scott Publications Inc. (11/5/2004)
  •  
  • Securities Act Reform, U.S. Securities & Exchange Commission (11/3/2004)
  •  
  • Operational Risk - SEC Fact Sheet, Hedge Fund Rule Adopted, RiskCenter.com (10/27/2004)
  •  
  • Market Risk - Investors Against Proposed SEC's Hedge Fund Rule, RiskCenter.com (9/21/2004)
  •  
  • Rethinking the Disclosure Paradigm in a World of Complexity
    ( Reprinted with permission from author ) , Steven L. Schwarcz, Duke University Global Capital Markets Center (9/15/2004)
  •  
  • Basel Comments on IAS 39 - Financial Instruments, Recognition and Measurement, the Fair Value Option, RiskCenter.com (9/13/2004)
  •  
  • Disclosure Regarding Portfolio Managers of Registered Management Investment Companies, U.S. Securities & Exchange Commission (8/23/2004)
  •  
  • ABS/MBS Disclosure Update #5: Reaction to the Comment Letters, Nomura Securities International, Inc. (8/4/2004)
  •  
  • India - Basel II, Regulatory Capital Under the Standardised Approach, RiskCenter.com (8/4/2004)
  •  
  • BIS - Implementation of Basel II: Practical Considerations, RiskCenter.com (7/30/2004)
  •  
  • SEC Proposal Prompts Barrage of Responses, Asset Backed Alert, Harrison Scott Publications Inc. (7/16/2004)
  •  
  • SEC Votes to Propose Requirement that Hedge Fund Advisers Register Under Investment Advisers Act, U.S. Securities & Exchange Commission (7/14/2004)
  •  
  • Rule Changes Loom Over Barcelona Gathering, Asset Backed Alert, Harrison Scott Publications Inc. (6/11/2004)
  •  
  • Securities Update - SEC Proposes New Rules for Asset-Backed Securities, Mayer Brown LLP (5/21/2004)
  •  
  • Basel II Due, With Maddeningly Few Changes, Asset Backed Alert, Harrison Scott Publications Inc. (5/14/2004)
  •  
  • ABS/MBS Disclosure Update #4: Issues from ASF Sunset Seminar, Nomura Securities International, Inc. (5/13/2004)
  •  
  • Credit Default Swap (CDS) Primer, Nomura Securities International, Inc. (5/12/2004)
  •  
  • ABS/MBS Disclosure Update #3, Nomura Securities International, Inc. (5/10/2004)
  •  
  • ABS/MBS Disclosure Update #2, Nomura Securities International, Inc. (5/5/2004)
  •  
  • Securitization Post-Enron
    ( Reprinted with permissions from the author and Cardozo Law Review ) , Steven L. Schwarcz, Duke University Global Capital Markets Center (4/30/2004)
  •  
  • ABS/MBS Disclosure Update, Nomura Securities International, Inc. (4/29/2004)
  •  
  • Over-The-Counter And Exchange-Traded Transactions Effected By Foreign Banks, Brokers and Dealers With U.S. Customers And Counterparties, Kenneth M. Rosenzweig, Mayer Brown LLP (4/22/2004)
  •  
  • Proposed Rule: First-Time Application of International Financial Reporting Standards, U.S. Securities & Exchange Commission (3/15/2004)
  •  
  • The SEC's Adoption of New Rules for Registered Investment Advisers Relating to Compliance Programs (Securities Update), Mayer Brown LLP (2/23/2004)
  •  
  • SEC Bears Down On Structured Finance Market, Total Securitization -- Institutional Investor News (2/13/2004)
  •  
  • 2003 AICPA National Conference on Current SEC Developments Compendium of Significant Accounting and Reporting Issues, Ernst & Young LLP (12/19/2003)
  •  
  • Securitization Post-Enron (Submission Draft), Steven L. Schwarcz, Duke University Global Capital Markets Center (10/23/2003)
  •  
  • Comments on Proposed Rule: Rating Agencies and the Use of Credit Ratings under the Federal Securities Laws, U.S. Securities & Exchange Commission (8/11/2003)
  •  
  • Commission Notice: Broker-Dealer Financial Statement Requirements Under Section 17 of the Exchange Act, U.S. Securities & Exchange Commission (8/4/2003)
  •  
  • The Bond Market Association Comments on Credit Rating Agencies: Believes Significant Additional Regulatory Oversight is Unwarranted; Urges SEC to Encourage Competition in the Credit Rating Industry, The Bond Market Association (7/29/2003)
  •  
  • ASF Summer 2003 Newsletter, American Securitization Forum (7/29/2003)
  •  
  • SEC Study on Adoption by the U.S. Financial Reporting System of a Principles-Based Accounting System, U.S. Securities & Exchange Commission (7/25/2003)
  •  
  • Standard & Poor's Supports a New, More Transparent NRSRO Designation Process, Standard & Poor's (7/23/2003)
  •  
  • Rating Agencies and the Use of Credit Ratings -- Regulatory Update (Industry Briefs Banking), Deloitte & Touche LLP (7/3/2003)
  •  
  • Use of Non-GAAP Financial Measures -- Regulatory Update (Industry Briefs Banking), Deloitte & Touche LLP (7/3/2003)
  •  
  • Report and first consultation on the implementation of the new Basel and EU Capital Adequacy Standards, Financial Services Authority (FSA) (7/1/2003)
  •  
  • Quarterly Government Securities Issuance and Rates Forecast, The Bond Market Association (7/1/2003)
  •  
  • CESR's Advice on Level 2 Implementing Measures for the Proposed Prospectus Directive (Consultation Paper), European Securitisation Forum (ESF) (6/1/2003)
  •  
  • Electronic Filing and Website Posting of All Section 16 Reports, Mayer Brown LLP (5/30/2003)
  •  
  • Improper Influence on Conduct of Audits, Mayer Brown LLP (5/30/2003)
  •  
  • Dramatic changes
    ( This article originally appears in the May 2003 issue of Accountancy magazine and is republished here by permission. ) , Michael L. Hermsen, Philip J. Niehoff, Mark R. Uhrynuk, Mayer Brown LLP (5/1/2003)
  •  
  • ASF Adopts Recommended Monthly Investor Report Template for Multi-Seller Conduits; Revised SEC Sarbanes-Oxley Asset-Backed Guidance Strikes a Workable Compromise, American Securitization Forum (4/30/2003)
  •  
  • DOJ Reaffirms And Expands Aggressive Corporate Cooperation Guidelines, Richard Ben-Veniste, Lee H. Rubin, Mayer Brown LLP (4/4/2003)
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  • The Bond Market Association, Recommended Policies and Procedures for Secondary Market Trading in Book-Entry Section 3(c)(7), The Bond Market Association (4/2/2003)
  •  
  • FSA Publishes Update On Regulation Of Hedge Funds, RiskCenter.com (3/27/2003)
  •  
  • SEC Adopts New Rules on Auditor Independence Pursuant to the Sarbanes-Oxley Act, Mayer Brown LLP (3/11/2003)
  •  
  • Disclosure in MD&A about Off-Balance Sheet Arrangements and Aggregate Contractual Obligations, Mayer Brown LLP (3/11/2003)
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  • Compliance by Asset-Backed Issuers with Exchange Act Rules 13a-14 and 15d-14 (rev. statement), U.S. Securities & Exchange Commission (2/21/2003)
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  • Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934 (final rule), U.S. Securities & Exchange Commission (2/20/2003)
  •  
  • SEC Adopts Rules on Use of Non-GAAP Financial Measures and Earnings Releases (Securities Update), Mayer Brown LLP (2/19/2003)
  •  
  • Staff Report: Enhancing Disclosure in the Mortgage-Backed Securities Markets, U.S. Securities & Exchange Commission (2/3/2003)
  •  
  • Derivatives Update - The 2002 ISDA Master Agreement, Mayer Brown LLP (2/1/2003)
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  • The FSA's new regulatory approach: key messages, Financial Services Authority (FSA) (2/1/2003)
  •  
  • SEC Adopts Final Rules Requiring Disclosure of Audit Committee Financial Experts Pursuant to the Sarbanes-Oxley Act, Mayer Brown LLP (1/29/2003)
  •  
  • Disclosure of Codes of Ethics for Senior Officers, Mayer Brown LLP (1/29/2003)
  •  
  • SEC Adopts Rules Implementing Sarbanes-Oxley Blackout Period Trading Restrictions, Mayer Brown LLP (1/28/2003)
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  • Disclosure in Management's Discussion and Analysis about Off-Balance Sheet Arrangements and Aggregate Contractual Obligations, Release No. 33-8182 (final rule), U.S. Securities & Exchange Commission (1/27/2003)
  •  
  • US - State Securities Regulators Endorse Uniform Securities Act (2002), RiskCenter.com (1/7/2003)
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  • Senate Report Attacks Structured Finance, Nomura Securities International, Inc. (1/6/2003)
  •  
  • SEC Issues Proposed Rules Implementing Certain Provisions of the Sarbanes-Oxley Act of 2002, PricewaterhouseCoopers LLP -- Structured Finance Group (12/23/2002)
  •  
  • Delaware Trusts Gain Favor With SEC Ruling, Asset Backed Alert, Harrison Scott Publications Inc. (11/22/2002)
  •  
  • SEC Holds Hearings On Credit Rating Agencies, RiskCenter.com (11/5/2002)
  •  
  • Disclosure in Management's Discussion and Analysis About Off-Balance Sheet Arrangements, Contractual Obligations and Contingent Liabilities and Commitments, SEC Release No. 33-8144 (proposed rule), U.S. Securities & Exchange Commission (11/4/2002)
  •  
  • Pro forma rule one step closer -- SEC approves proposal requiring firms to provide more explanation for use of non-GAAP results, CNNMoney.com (10/30/2002)
  •  
  • SEC to beef up disclosure rules -- New guidelines for earnings reports, off-balance sheet deals, MSNBC.com (10/30/2002)
  •  
  • Regs to Create New Set of Market Winners, Asset Backed Alert, Harrison Scott Publications Inc. (10/25/2002)
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  • SEC to vote on off-balance-sheet disclosure, Forbes.com (10/23/2002)
  •  
  • Defiant Fannie And Freddie: Sketchy Financial Disclosure Harms Investors And Taxpayers, Bert Ely, Ely & Co., Inc., Washington Legal Foundation (10/4/2002)
  •  
  • Highlights of the Sarbanes-Oxley Act of 2002 for Non-U.S. Issuers, Mayer Brown LLP (9/25/2002)
  •  
  • SEC Ruling Appeases ABS Mart, Bondweek--Institutional Investor Newsletters (9/9/2002)
  •  
  • SEC Adopts Rules Implementing Sarbanes-Oxley CEO/CFO Certification and Internal Controls Requirements, Mayer Brown LLP (9/4/2002)
  •  
  • Acceleration of Insider Reporting Under Section 16; Rule 16b-3 Exempt Transactions; Transactions Not Subject to 2 Business Day Deadline; No Company Reporting (Securities Update), Mayer Brown LLP (8/16/2002)
  •  
  • Administration: President Bush Outlines More Actions to Bolster Confidence, RealCorporateLawyer.com (8/1/2002)
  •  
  • Securities Update: Sarbanes-Oxley Act of 2002, Mayer Brown LLP (7/31/2002)
  •  
  • Legislative Update: Overview of the Sarbanes-Oxley Act of 2002, Mayer Brown LLP (7/31/2002)
  •  
  • Off-Balance Sheet Update, Nomura Securities International, Inc. (7/31/2002)
  •  
  • Major European Banks To Adopt US Standards On Analysts, Tim Jones, RiskCenter.com (7/15/2002)
  •  
  • Congress: Senate Accounting Reform Bill Gets Out of Committee, RealCorporateLawyer.com (7/1/2002)
  •  
  • Affiliated Transactions Under Rule 17d-1: Business Implications for Investment Management Transactions, David M. Butowsky, Mayer Brown LLP (5/1/2002)
  •  
  • Accounting and Capital Markets Developments (2001), Office of Thrift Supervision (OTS) (4/15/2002)
  •  
  • Thirty Years Later Securitization Is Still Good for America, Nomura Securities International, Inc. (3/15/2002)
  •  
  • Congress: House Bills Seek Broad and Far Ranging Reform, RealCorporateLawyer.com (3/1/2002)
  •  
  • After Enron, Issues for Directors, Audit Committees and Company Relationships with their Auditors - Securities Update, Mayer Brown LLP (2/25/2002)
  •  
  • Concerns Over the Use of SPEs by Financial Institutions, Mayer Brown LLP (2/9/2002)
  •  
  • SEC Fees Reduced -- Securities Law Update, Mayer Brown LLP (2/1/2002)
  •  
  • After Enron -- Securities Update, Mayer Brown LLP (2/1/2002)
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  • Asset-Backed Securities [FAQs], RealCorporateLawyer.com (2/1/2002)
  •  
  • ABS, The Bond Market Association (1/30/2002)
  •  
  • SEC Self-Policing Policy Presents Benefits and Pitfalls (originally published by Washington Legal Foundation), Richard A. Spehr, Claudius O. Sokenu, Mayer Brown LLP (1/25/2002)
  •  
  • Web Portals Caught in the Web Of Broker-Dealer Regulation (Reprinted with permission from the Oct 22, 2001 New Jersey Law Journal. Copyright 2001 NLP IP Company), Claudius O.T. Sokenu, Mayer Brown LLP (10/22/2001)
  •  
  • Bond Market Association Seeks Reforms to Securities Offering Process, The Bond Market Association (10/1/2001)
  •  
  • European Securitisation newsletter, Mayer Brown LLP (8/1/2001)
  •  
  • New Rules Adopted Governing Audit Committees, Mayer Brown LLP (5/17/2001)
  •  
  • SEC Loosens Restrictions On Subsequent Offering Periods, Mayer Brown LLP (5/4/2001)
  •  
  • The SEC's New Rules on Auditor Independence, Mayer Brown LLP (1/17/2001)
  •  
  • CBOT Certifies New Mortgage Futures and Options Contracts, Chicago Board of Trade (12/4/2000)
  •  
  • Final Rule: Selective Disclosure and Insider Trading, U.S. Securities & Exchange Commission (8/21/2000)
  •  
  • New Insider Trading Initiatives (New Regulation FD), Mayer Brown LLP (5/15/2000)
  •  
  • 27th Annual National AICPA Conference on Current SEC Developments, Remarks by Domenick Ragone III, U.S. Securities & Exchange Commission (12/8/1999)
  •  
  • Regulation S, Mayer Brown LLP (11/4/1999)
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  • SEC Proposes Changes to Securities Offerings and Business Combination Regulations, Gary Reinbold, Mayer Brown LLP (11/25/1998)
  •  
  • Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934, Release No. 39457, 62 FR 68018 (proposing to amend the net capital rule to provide a definition of the term ''NRSRO'' that sets forth the criteria that a rating organiz, U.S. Securities & Exchange Commission (12/30/1997)
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  • Use of Term Sheets in Asset-Backed Transactions, Elizabeth A. Raymond, Kyle K. Fox, Mayer Brown LLP (7/1/1996)
     

     

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