The SEC Division of Corporation Finance updated its Compliance and Disclosure Interpretations relating to the filing of asset-level disclosures.
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The SEC charged the CEO and Chief Operating Officer of a subprime auto loan funding and servicing company with conducting a fraudulent securitization scheme.
A merchant cash advance company settled SEC charges for misleading investors in the securitization of a revolving pool of outstanding business loans.
SEC Chair Jay Clayton asked for public comment on whether asset-level disclosure requirements for residential mortgage-backed securities are causing a decrease in SEC-registered offerings.
FINRA provided FAQs on how broker-dealers may comply with FINRA disclosure requirements when communicating with customers through electronic media.