1,291 results found

The People of the State of California and The City of Los Angeles (collectively, the "Plaintiff") are seeking to hold Deutsche Bank National Trust Company and Deutsche Bank Trust Company Americas, as trustee under hundreds of mortgaged-backed securitizations (collectively, the "Trustee"), liable for reparations on thousand of homes in the LA County area.

SEC Commissioner Elad Roisman recommended that the agency consider additional guidance for asset managers with respect to the use of proxy advisory firms.

On December 3, 2025, the Securities and Exchange Commission (the "SEC") announced that it was providing a second temporary exemption from compliance with Rule 13f-2, the short sale reporting rule, and related Form SHO and Rule 10c-1a.

SEC Director of the Division of Investment Management (the "Division") Dalia Blass will leave the agency in January 2021.

On November 8, 2018, the U.S. Securities and Exchange Commission (the "SEC") settled its first case against an unregistered cryptocurrency exchange.

On September 30, 2019, Judge Loretta A. Preska of the United States District Court for the Southern District of New York dismissed federal securities...

The appendix provides "additional context" to the parts of the report Commissioner Gallagher believed needed "further qualification."

On August 31, 2018, the Federal Energy Regulatory Commission ("Commission") issued an order ("August 31 Order")

The role of sustainability in the operations and investment management activities of asset managers has long been a subject of discussion and, in some jurisdictions, controversy.

A recent CNBC Make It article highlighted six smart money questions a divorce attorney suggests asking early in a relationship, not to interrogate on the first date...

If Trustees of Supplemental Needs Trusts were not aware of their enhanced duty to the disabled beneficiary of these types of trusts, after Matter of J.P. Morgan Chase, they should be.

elcome to Asset Yield, the podcast series of Kinstellar C/SEE Asset Solutions, where we interview principal investors, originators, advisors, and funders in the world ...

After years of careful saving and planning, the time has come for high school students to transition to college — a transformative milestone and the beginning of their journey toward independence.

FINRA’s 2015 Regulatory and Examinations Priorities Letter provides guidance regarding areas of focus in the "Sales Practice" for this year.

On November 6, 2014, the SEC issued a notice of intention to grant an application for exemptive relief under the Investment Company Act.

In this episode and in recognition of Women's History month, Tonya M. Esposito and Tracee E. Davis are joined by Elisa Luque, EVP and Head of Global Wealth Management for Guaranty Bank & Trust, N.A...

Several major trade associations called on U.S. prudential regulators and the CFTC to expand the types of money market funds ("MMFs") eligible for derivatives initial margin.