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Regulation AB consolidates and codifies existing interpretative, primarily client-specific, positions that clarify Securities Act of 1933 registration requirements for asset-backed securities offerings in the United States.
The part of the law that defines its authority and scope is known as Regulation B, [3] from the (b) that appears in Title 12 part 1002's official identifier: 12 C.F.R. § 1002.1(b) (2017). [4] Failure to comply with Regulation B can subject a financial institution to civil liability for actual and punitive damages in individual or class actions.
The NASD was founded on September 3, 1936 as Investment Bankers Conference, Inc. [9] and, on August 7, 1939, was registered under the name National Association of Securities Dealers, Inc. [10] as a national securities association with the SEC under authority granted by the 1938 Maloney Act amendments to the Securities Exchange Act of 1934, [11] which allowed it to supervise the conduct of its ...
Bridge Investment Group Holdings Inc. is an American alternative investment company headquartered in Salt Lake City, Utah. The company focuses on investments in the real estate sector as well as credit investments. It has expanded into other areas such as the private-equity secondary market, property technology, and renewable energy.
(A) IN GENERAL.—If a foreign bank acquires a bank or a branch of a bank, in a State in which the foreign bank does not maintain a branch, and such acquired bank is, or is part of, a regulated financial institution (as defined in section 803 of the Community Reinvestment Act of 1977), the Community Reinvestment Act of 1977 shall continue to ...
A business development company as defined in section 202(a)(22) of the Investment Advisers Act of 1940. A 501(c)(3) charitable organization, corporation (other than a bank or a savings and loan association), partnership, or Massachusetts or similar business trust; and; An investment adviser registered under the Investment Advisers Act of 1940.
A year before the law was passed, Citicorp, a commercial bank holding company, merged with the insurance company Travelers Group in 1998 to form the conglomerate Citigroup, a corporation combining banking, securities and insurance services under a house of brands that included Citibank, Smith Barney, Primerica, and Travelers.
Paragraph (b) expressly refers to several types of persons whose misuse of the information would subject them to insider trading liability under Rule 10b-5: (1) "temporary" insiders of an issuer – e.g., outside consultants, such as its attorneys, investment bankers, or accountants;42 and (2) any other person who has expressly agreed to ...