As a result of conclusions from a recent study by Woodbine Associates, Senator Charles Schumer wrote to SEC Chairman Schapiro requesting that the SEC take action to ensure that brokerages
Continue Reading Broker Routing Decisions; Are There Conflicts Of Interest
Conflicts of Interest
SEC Proposes Rules to Prohibit Conflicts in Certain Securitizations
By Amit Shah on
On September 19, 2011, the SEC proposed a new rule to prohibit certain material conflicts of interests between those who package and sell asset-backed securities (“ABS”) and those who invest…
Continue Reading SEC Proposes Rules to Prohibit Conflicts in Certain Securitizations