Asset-Backed Securities

Overview

This page provides information on the public and private offering of Asset-Backed Securities, including relevant provisions of the Securities Act of 1933 (the "SA"), the Securities Exchange Act of 1934 (the "SEA") and the Investment Company Act (the "ICA").

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Contributor Organization 
Contributor Title 
Partner and Co-Chair, Capital Markets
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Contributor Organization 
Contributor Title 
Partner and Co-Chair, Capital Markets

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Statutes, Rules and Forms

ABS Forms

  • Securities Act Registration
  • Form SF-3 (Shelf registration)
  • Form SF-1 (All other registrations)
  • Reporting Forms pursuant to SEA Sections 13 or 15(d)
  • Form 10-K (Annual report)
  • Form 10-Q (General form for quarterly reports)
  • Form 8-K (Current report)
  • Form 10-D (Asset-backed issuer distribution report)
  • Securitizer Report
  • Form ABS-15G (Asset-backed securitizer report pursuant to SEA Section 15G)

SEC Registration Fees 

Shelf Eligibility and Filing

Investor Communications in a Public Offering

Communications with Rating Organizations

Reporting of a Repurchase Request

  • SEA Rule 15Ga-1 (Repurchases and replacements relating to ABS)
  • Form ABS-15G (Asset-backed securitizer report pursuant to SEA Section 15G)

Third Party Diligence and Disclosure

  • SEA Rule 15Ga-2 (Findings and conclusions of third-party due diligence reports)
  • Form ABS-15G (Asset-backed securitizer report pursuant to SEA Section 15G)
  • SEA Rule 17g-10 (Certification of providers of third-party due diligence services in connection with ABS)
  • Form ABS Due Diligence-15E (Certification of provider of third-party due diligence services for ABS)

FINRA Rules

 

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