... rating agency defendants liable as underwriters or control persons for misstatements or omissions ... they did not fall within the statutory definition of "underwriter" when they participated in creatin...
...'s proposed amendment would revise the definition of "Rating Agency" in the Underwriter Exemptions t...
... will be deemed to be ``acting as an underwriter'' and not as a financial advisor for purposes of R... and objected to the exemption from the definition of municipal advisor for underwriters that render ...
The main goal of this study is to analyze a sample of self-underwritten Initial Public Offerings (IPOs) where the going public process is conducted without the participation of any investment bank or underwriter at all. We test the hypothesis that the major incentive to self-underwrite is to maximize the proceeds from the IPO.The firms in this study are considered self-underwritten if and only if they explicitly describe their own IPO as such in the registration statement and the prospectus. This definition is completely new, since most previous academic papers have considered as those where the issuer is an investment bank that also participates in its own IPO. The main conclusion of this study is that there are no significant differences on the level of underpri...
The OCC, Board, FDIC, and SEC (individually, an ``Agency,'' and collectively, ``the Agencies'') are requesting comment on a proposed rule that would implement Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'') which contains certain prohibitions and restrictions on the ability of a banking entity and nonbank financial company supervised by the Board to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund.
...1851(h)(1). The statutory definition includes any insured depository institution (other... the banking entity is acting as an underwriter. This prong is intended to give effect to the esse...
... securities laws, so companies and underwriters need to be careful about any publicity in connecti... what is or is not an offer under this definition. And the US Securities and Exchange Commission (SE...
...(c) Definition of broker, dealer or underwriter. As used in this ...
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is requesting comment on a proposed rule that would implement Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'') which contains certain prohibitions and restrictions on the ability of a banking entity and nonbank financial company supervised by the Board of Governors of the Federal Reserve System (the ``Board'') to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund (``CFTC Rule''). On November 7, 2011, the Office of the Comptroller of the Currency, Treasury (``OCC''); the Board; the Federal Deposit Insurance Corporation (``FDIC''); and the Securities and Exchange Commission (``SEC'') published a joint pr...
...1851(h)(1). The statutory definition includes any insured depository institution (other... the banking entity is acting as an underwriter. This prong is intended to give effect to the esse...
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