Searching Content indexed under Securitization & Structured Finance by Steven Lofchie ordered by Published Date Descending.
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Trade Associations Request Extension Of Comment Period For Security-Based Swap Rules
Several trade associations requested that the SEC extend the comment period for its proposed rules on capital, margin and segregation requirements for security-based swaps.
United States
9 Nov 2018
CFTC Chair Opposes Proposed EU Cross-Border Legislation
CFTC Chair J. Christopher Giancarlo warned European Union regulators that the agency does not approve of and will oppose any proposed cross-border legislation that is conflicting or overly burdensome.
19 Oct 2018
Democratic Lawmakers Urge SEC To Toughen Proposed Regulation Best Interest
Several Democratic members of Congress called upon SEC Chair Jay Clayton to amend proposed Regulation Best Interest to require a uniform fiduciary standard for all broker-dealers and investment advisers.
United States
17 Sep 2018
Senate Confirms New SEC Commissioner
The U.S. Senate confirmed the nomination of Elad L. Roisman to be a Commissioner of the SEC. Mr. Roisman, who was nominated by President Donald J. Trump, serves as Chief Counsel to the Senate Banking Committee.
United States
12 Sep 2018
Four Investment Advisers Settle SEC Charges Regarding Faulty Quantitative Investment Models
Four investment advisers and several related individuals settled SEC charges for allegedly advertising the use of quantitative investment models while failing to notify their Boards of Trustees and investors that certain models were inoperable and/or not in use.
United States
9 Sep 2018
FRB Seeks Comments On Proposed Repo-Based Reference Rates
The Board of Governors of the FRB issued a request for public comment on a proposal to publish three new benchmark interest rates based on overnight repurchase agreement transactions backed by Treasuries.
United States
1 Sep 2017
FRB Governor Powell Urges Housing Finance Reform
In a speech at the American Enterprise Institute in Washington, D.C., Board of Governors of the Federal Reserve System ("FRB") member Jerome H. Powell advocated for housing finance reform...
United States
18 Jul 2017
FINRA Economists Report Mixed Progress In Securitized Asset Liquidity
FINRA's Office of the Chief Economist published a research note authored by two staff members that examined the liquidity of securitized assets over the course of the last several years.
United States
21 Jun 2017
Streetwise Professor Claims Bipartisan Support For Restoring Glass-Steagall Is "Misguided"
University of Houston Finance Professor Craig Pirrong characterized bipartisan advocates who would restore the Glass-Steagall Act in order to prevent future crises as "wholly misguided."
United States
16 Aug 2016
ECB Examines Systemic Risks Of Shadow Banking
European Central Bank ("ECB") staff outlined systemic risks of shadow banking and advocated the collection of additional balance sheet data by using an "activities-based approach."
European Union
12 Jul 2016
The Volcker Rule's Impact On Foreign Banking Organizations
On Tuesday, December 10, 2013, the three federal banking agencies as well as the Securities & Exchange Commission and the Commodity Futures Trading Commission, approved for comment a final regulation implementing Section 619 of the Dodd-Frank Act.
United States
20 Dec 2013
The Volcker Rule's Impact On Financial Institutions' Ownership And Sponsorship Of Structured Finance And Securitization Transactions
The three federal banking agencies and the SEC recently approved for comment a proposed regulation implementing Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act"), more generally known as the "Volcker Rule."
United States
8 Nov 2011
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