Skip to main content

Main menu

  • Home
  • Current Issue
  • Past Issues
  • Videos
  • Submit an article
  • More
    • About JSF
    • Editorial Board
    • Published Ahead of Print (PAP)
  • IPR Logo
  • About Us
  • Journals
  • Publish
  • Advertise
  • Videos
  • Webinars
  • More
    • Awards
    • Article Licensing
    • Academic Use
  • Follow IIJ on LinkedIn
  • Follow IIJ on Twitter

User menu

  • Sample our Content
  • Request a demo
  • Log in

Search

  • ADVANCED SEARCH: Discover more content by journal, author or time frame
The Journal of Structured Finance
  • IPR Logo
  • About Us
  • Journals
  • Publish
  • Advertise
  • Videos
  • Webinars
  • More
    • Awards
    • Article Licensing
    • Academic Use
  • Sample our Content
  • Request a demo
  • Log in
The Journal of Structured Finance

The Journal of Structured Finance

ADVANCED SEARCH: Discover more content by journal, author or time frame

  • Home
  • Current Issue
  • Past Issues
  • Videos
  • Submit an article
  • More
    • About JSF
    • Editorial Board
    • Published Ahead of Print (PAP)
  • Follow IIJ on LinkedIn
  • Follow IIJ on Twitter

Asset-Backed Securitization Third-Party Due Diligence Services: Increased Transparency via Exchange Act Rule 15Ga-2 and Rule 17g-10

John Levonick
The Journal of Structured Finance Spring 2015, 21 (1) 45-48; DOI: https://doi.org/10.3905/jsf.2015.21.1.045
John Levonick
is chief compliance counsel at Opus Capital Markets Consultants LLC (Opus CMC) in Lincolnshire, IL.
  • Find this author on Google Scholar
  • Find this author on PubMed
  • Search for this author on this site
  • For correspondence: john.levonick@opuscmc.com
  • Article
  • Info & Metrics
  • PDF (Subscribers Only)
Loading

Click to login and read the full article.

Don’t have access? Click here to request a demo 
Alternatively, Call a member of the team to discuss membership options
US and Overseas: +1 646-931-9045
UK: 0207 139 1600

Abstract

One of the mandates of the Dodd–Frank Wall Street Reform Act of 2010 to the U.S. SEC concerns the role that third-party due diligence providers should play in the issuance of asset-backed securities (ABS). Rule 15Ga-2 defines “Exchange Act-ABS” and delineates public reporting obligations of the issuer or underwriter of an Exchange Act-ABS that is to be rated by a nationally recognized statistical rating organization (NRSRO), and Rule 17g-10 details what services qualify as Exchange Act-ABS due diligence services and what the reporting obligations are for such third-party service providers. The rules are intended 1) to require third-party due diligence providers to describe the scope and manner of the due diligence they have conducted and to clearly explain their findings and conclusions and 2) to require issuers and underwriters of a registered or registered ABS offering to publicly disclose all findings and conclusions from third-party due diligence providers. The third-party due diligence services that will be conducted in anticipation of a rated Exchange Act-ABS will now be transparent to the public and available for detailed analysis.

TOPICS: Asset-backed securities (ABS), legal/regulatory/public policy

  • © 2015 Pageant Media Ltd
View Full Text

Don’t have access? Click here to request a demo

Alternatively, Call a member of the team to discuss membership options

US and Overseas: +1 646-931-9045

UK: 0207 139 1600

Log in using your username and password

Forgot your user name or password?
PreviousNext
Back to top

Explore our content to discover more relevant research

  • By topic
  • Across journals
  • From the experts
  • Monthly highlights
  • Special collections

In this issue

The Journal of Structured Finance: 21 (1)
The Journal of Structured Finance
Vol. 21, Issue 1
Spring 2015
  • Table of Contents
  • Index by author
Print
Download PDF
Article Alerts
Sign In to Email Alerts with your Email Address
Email Article

Thank you for your interest in spreading the word on The Journal of Structured Finance.

NOTE: We only request your email address so that the person you are recommending the page to knows that you wanted them to see it, and that it is not junk mail. We do not capture any email address.

Enter multiple addresses on separate lines or separate them with commas.
Asset-Backed Securitization Third-Party Due Diligence Services: Increased Transparency via Exchange Act Rule 15Ga-2 and Rule 17g-10
(Your Name) has sent you a message from The Journal of Structured Finance
(Your Name) thought you would like to see the The Journal of Structured Finance web site.
CAPTCHA
This question is for testing whether or not you are a human visitor and to prevent automated spam submissions.
Citation Tools
Asset-Backed Securitization Third-Party Due Diligence Services: Increased Transparency via Exchange Act Rule 15Ga-2 and Rule 17g-10
John Levonick
The Journal of Structured Finance Apr 2015, 21 (1) 45-48; DOI: 10.3905/jsf.2015.21.1.045

Citation Manager Formats

  • BibTeX
  • Bookends
  • EasyBib
  • EndNote (tagged)
  • EndNote 8 (xml)
  • Medlars
  • Mendeley
  • Papers
  • RefWorks Tagged
  • Ref Manager
  • RIS
  • Zotero
Save To My Folders
Share
Asset-Backed Securitization Third-Party Due Diligence Services: Increased Transparency via Exchange Act Rule 15Ga-2 and Rule 17g-10
John Levonick
The Journal of Structured Finance Apr 2015, 21 (1) 45-48; DOI: 10.3905/jsf.2015.21.1.045
del.icio.us logo Digg logo Reddit logo Twitter logo Facebook logo Google logo LinkedIn logo Mendeley logo
Tweet Widget Facebook Like LinkedIn logo

Jump to section

  • Article
    • Abstract
    • RULE 15GA-2 AND RULE 17G-10
    • FORM 15G
    • FORM 15E
    • TRANSPARENCY OF EXCHANGE ACT-ABS DUE DILIGENCE
    • ENDNOTES
  • Info & Metrics
  • PDF

Similar Articles

Cited By...

  • No citing articles found.
  • Google Scholar
LONDON
One London Wall, London, EC2Y 5EA
United Kingdom
+44 207 139 1600
 
NEW YORK
41 Madison Avenue, New York, NY 10010
USA
+1 646 931 9045
pm-research@pageantmedia.com
 

Stay Connected

  • Follow IIJ on LinkedIn
  • Follow IIJ on Twitter

MORE FROM PMR

  • Home
  • Awards
  • Investment Guides
  • Videos
  • About PMR

INFORMATION FOR

  • Academics
  • Agents
  • Authors
  • Content Usage Terms

GET INVOLVED

  • Advertise
  • Publish
  • Article Licensing
  • Contact Us
  • Subscribe Now
  • Log In
  • Update your profile
  • Give us your feedback

© 2022 Pageant Media Ltd | All Rights Reserved | ISSN: 1551-9783 | E-ISSN: 2374-1325

  • Site Map
  • Terms & Conditions
  • Cookies
  • Privacy Policy