17 CFR 229.1101 - (Item 1101) Definitions

Cite as17 CFR 229.1101
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40 practice notes
  • Part II
    • United States
    • Federal Register August 03, 2005
    • August 3, 2005
    ...not meet the definition of well-known seasoned issuer if it is an asset-backed issuer (as defined in Item 1101(b) of Regulation AB [17 CFR 229.1101(b)], an investment company registered under the Investment Company Act of 1940, or a business development company. Business development compani......
  • Part II
    • United States
    • Federal Register May 13, 2004
    • May 13, 2004
    ...offering of asset-backed securities. Terms used in this General Instruction VI. have the same meaning as in Item 1101 of Regulation AB (17 CFR 229.1101). [[Page A. Items that May be Omitted. Such registrants may omit the information called for by the following otherwise required items: Para......
  • Securities: Asset-backed securities; registration, disclosure, and reporting requirements,
    • United States
    • Federal Register May 13, 2004
    • May 13, 2004
    ...offering of asset-backed securities. Terms used in this General Instruction VI. have the same meaning as in Item 1101 of Regulation AB (17 CFR 229.1101). [[Page A. Items that May be Omitted. Such registrants may omit the information called for by the following otherwise required items: Para......
  • Disclosure Update and Simplification
    • United States
    • Federal Register August 04, 2016
    • August 4, 2016
    ...\27\ ``Asset-backed issuer'' is defined in Item 1101(b) of Regulation AB 17 CFR 229.1101(b). See the proposals regarding: (1) Invitations for competitive bids discussed in section III.C.19, (2) available information discussed in section IV.B.3, (3) matters submitted to a vote of security ho......
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9 cases
  • Loan Syndications v. Sec. & Exch. Comm'n, Civil Action No. 16–652 (RBW)
    • United States
    • United States District Courts. United States District Court (Columbia)
    • December 22, 2016
    ...directly or indirectly, including through an affiliate, to the issuing entity." Id. at JA0184 (76 Fed. Reg. at 24098 n.40 (citing 17 C.F.R. § 229.1101 (2014) )). The agencies specifically noted that a "CLO manager generally acts as the sponsor by selecting the commercial loans to be purchas......
  • NECA–IBEW Health & Welfare Fund v. Goldman Sachs & Co., Docket No. 11–2762–cv.
    • United States
    • United States Courts of Appeals. United States Court of Appeals (2nd Circuit)
    • September 6, 2012
    ...failure to receive payments due under the Certificates” in order to “allege an injury cognizable under Section 11.” Id. (quoting 17 C.F.R. § 229.1101(c)). In an earlier oral ruling, the district court had sustained plaintiff's § 12(a)(2) claims against similar attacks, [693 F.3d 156finding ......
  • Fed. Hous. Fin. Agency v. Nomura Holding Am. Inc., No. 11cv6201 DLC.
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • December 18, 2014
    ...the “depositor,” which means “the depositor who receives or purchases and transfers or sells the pool assets to the issuing entity.” 17 C.F.R. §§ 229.1101, 230.193.40 This defense is sometimes lumped together with the less demanding “reliance” defense under Section 11, which provides an aff......
  • Nantahala Capital Partners, LP v. Washington Mutual, Inc. (In re Washington Mutual, Inc.),
    • United States
    • U.S. Bankruptcy Court — District of Delaware
    • January 3, 2012
    ...within a finite time period” issued by an entity whose activities are “limited to passively owning or holding the pool of assets.” 17 C.F.R. § 229.1101(c)(1) & (2)(ii). WMI also argues that the LTW Holders' expert was not an expert. He was not an accountant, but rather was a lawyer who did ......
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