On November 27, 2023, the US Securities Exchange Commission (“SEC”) adopted final Securities Act Rule 192 (“Final Rule 192”) prohibiting certain conflicts of interest in securitization transactions. In general, Final Rule 192 prohibits a “securitization participant” with respect to an “asset-backed security” (“ABS”) from directly or indirectly engaging in any “conflicted transaction” during the applicable
Concept release on harmonization of securities offering exemptions
On June 18, 2019, the Securities and Exchange Commission (the “SEC”) issued a concept release requesting public comment on ways to simplify, harmonize and improve the exempt offering process to expand investment opportunities while maintaining investor protections. The full text of the SEC concept release is here.
Continue Reading Concept release on harmonization of securities offering exemptions
2019 SEC filing deadlines
As we head further into 2019, we provide a reminder and refresher on the SEC’s 2019 filing deadlines.
2019 SEC Filing Deadlines and Financial Statements Staleness Dates