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Our experts frequently write blog posts about the findings of the research we are conducting.

Displaying 10 out of 23 results for "Interest Rate Swaps".

SEC Press Release: New Short Form Criteria

(Jul 2011)

SEC Adopts New Short Form Criteria to Replace Credit Ratings

The Securities and Exchange Commission (SEC) issued a press release today announcing that it had removed "credit ratings as eligibility criteria for companies seeking to use 'short form' registration when registering securities for public sale." The SEC unanimously voted for the adoption of this new rule, in response to the Dodd-Frank Wall Street Reform and Consumer Protection Act that encouraged financial regulators to rely...

FINRA Investor Alert: Asking the Right Questions

(Jul 2011)

The Grass Isn't Always Greener-Chasing Return in a Challenging Investment Environment

The Financial Industry Regulatory Authority (FINRA) published an Investor Alert to help retail investors, who are seeking for higher returns through investing in complex securities such as structured products, ask the right questions before making such investment decisions.

Investors are encouraged to read through the FINRA article. The article includes a section on 'Structured Retail Products', since...

In the News: UBS & Morgan Stanley Subpoenaed over Reverse Convertibles

(Jul 2011)

UBS, Morgan Stanley Subpoenaed Over Reverse Convertibles

Bloomberg news reported today that the state of Georgia had sent subpoenas requesting for data and other information from UBS AG, Morgan Stanley and Ameriprise Financial Inc.. The state is investigating whether these brokerage firms violated the securities laws of Georgia in their sale of reverse convertibles to investors of Georgia.

Sales of reverse convertibles have grown, and investors who are being sold these structured...

SEC Press Release: Forex Ponzi Scheme

(Jul 2011)

SEC Charges Forex Ponzi Operator Who Fled After Scheme Unraveled

The U.S. Securities and Exchange Commission (SEC) issued a press release today announcing that it had

"filed fraud charges Thursday against the CEO of a purported foreign currency trading firm, alleging he scammed hundreds of investors with false promises of high, fixed-rate returns while secretly using their money to fund his start-up alternative newspaper."

Lowrance, Chief Executive of First Capital Savings &...

SEC Press Release: State of Municipal Securities Market

(Jul 2011)

SEC Announces July 29 Field Hearing on the State of the Municipal Securities Market

The Securities and Exchange Commission (SEC) issued a press release today announcing that

"it will hold a municipal securities market field hearing in Jefferson County, Ala., on July 29. Topics will include distressed communities, small issuers, disclosure, derivatives and pre-trade price transparency."

The purpose of the field hearing is to understand the relevant issues affecting investors in...

SEC Press Release: Fraudulent Bidding Practices

(Jul 2011)

SEC Charges J. P. Morgan Securities with Fraudulent Bidding Practices Involving Investment of Municipal Bond Proceeds

The U.S. Securities and Exchange Commission (SEC) issued a press release today announcing that it has

"charged J.P. Morgan Securities LLC (JPMS) with fraudulently rigging at least 93 municipal bond reinvestment transactions in 31 states, generating millions of dollars in ill-gotten gains."

Here are the SEC Complaint, SEC Final Judgment and the Litigation Release...

SEC Press Release: Auction Rate Securities

(Jun 2011)

SEC Charges Raymond James for Auction Rate Securities Sales Practices

The U.S. Securities and Exchange Commission (SEC) issued a press release today announcing that it had

"charged Raymond James & Associates Inc. and Raymond James Financial Services Inc. for making inaccurate statements when selling auction rate securities (ARS) to customers."

Here is the SEC's Administrative Proceeding.

According to Registered Rep., Raymond James has agreed to repurchase $300 million of ARS...

SEC Press Release: Morgan Keegan fined in connection with CDOs

(Jun 2011)

Morgan Keegan to Pay $200 Million to Settle Fraud Charges Related to Subprime Mortgage-Backed Securities

The U.S. Securities and Exchange Commission (SEC) issued a press release today announcing that

"Morgan Keegan & Company and Morgan Asset Management have agreed to pay $200 million to settle fraud charges related to subprime mortgage-backed securities. Two Morgan Keegan employees also agreed to pay penalties for their alleged misconduct, including one who is now barred from the...

SEC Press Release: Defrauding New York Investors Investors

(Jun 2011)

SEC Charges Investment Adviser With Defrauding Investors in Two Upstate New York Real Estate Funds

The Securities and Exchange Commission (SEC) issued a press release today announcing that it had

"charged a Monticello, N.Y.-based investment adviser with fraudulently offering and selling securities in two upstate New York real estate funds he managed."

The press release also provides the SEC Complaint and the Litigation Release No. 21968.

According to the SEC, Lloyd v....

SEC Press Release: Microcap Stock Fraud

(Jun 2011)

SEC Suspends Trading in 17 Companies in Proactive Effort to Combat Microcap Stock Fraud

The Securities and Exchange Commission (SEC) issued a press release today announcing that it had

"suspended trading in 17 microcap stocks because of questions about the adequacy and accuracy of publicly available information about the companies, which trade in the over-the-counter (OTC) market."

The Order of Suspension of trading can be found on the SEC's website.

SEC's regional offices,...

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