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Searching Content by Michael Pettingill from Shearman & Sterling LLP ordered by Published Date Descending.
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New SEC Staff Guidance Broadens The Applicability Of 1940 Act Exemption For Mortgage Securitizers
In a no-action letter dated February 12, 2018, the SEC expanded the scope of Section 3(c)(5)(C) of the Investment Company Act to apply to a sponsor of multiple securities trusts that hold whole mortgage loans.
United States
23 Feb 2018
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LSTA's Argument That CLO Managers Are Not "Securitizers" In Open-Market CLOs Carries The Day In Court. Now What?
On February 9, 2018, the D.C. Court of Appeals ruled that treating managers of open-market CLOs as "securitizers" subject to the risk retention rules exceeded the statutory authority to promulgate rules to implement...
United States
14 Feb 2018
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