Posts from Steve Quinlivan

SEC Staff Study on Investor Access to Registration Information About Investment Advisers and Broker-Dealers


Section 919B of the Dodd-Frank Act directs the SEC to complete a study, including recommendations, of ways to improve the access of investors to registration information about registered and previously registered investment advisers, associated persons of investment advisers, brokers and dealers and their associated persons, and to identify additional information... Read More

Topics: Broker-Dealer, Investment Advisers

Disclosure for Asset-Backed Securities Related to Representations, Warranties and Repurchase Histories


In transaction agreements that govern a securitization, issuers or originators of asset-backed securities, or ABS, typically make “representations and warranties” about the characteristics and the quality of loans included in a securitization.  If a loan does not comply with the representation or warranty, an ABS issuer or lender can be... Read More

Topics: Banking, Public Companies and Securities