CDOs/CLOs

The Securities and Exchange Commission (SEC) has charged RBC Capital Markets for misconduct in the sale of "unsuitable investments" to five Wisconsin school districts.

The McGraw-Hill Cos. today filed a Form 8-K with the Securities and Exchange Commission (SEC) that acknowledged that on Sept. 22, it received a "Wells Notice" from the Commission Staff.

Closing in on the one-year anniversary of its bankruptcy filing, Ambac Financial Group has filed a new reorganization plan that all parties involved have agreed on.

Citigroup has priced a $352 million CLO for Apidos Capital Management, according to a person familiar with the transaction.

Nomura Holdings has hired two executives for its leveraged finance group, a source familiar with the situation confirmed. The additions come in the wake of several high profile departures from the Japanese bank.

Dock Street Capital Management is acting as liquidiation agent for the deal called Rockville CDO I. There will be two separate sales to be held on Sept. 27.

The Securities and Exchange Commission (SEC) today voted (4-0 today) unanimously to propose a rule intended to prohibit certain material conflicts of interest between ABS sellers and investors.

RBS Securities (RBS) hired Tom Majewski to join RBS's global banking and markets division in the Americas as a managing director in its ABS finance coverage and advisory team.

Citigroup is seeking to gain control of more than $2 billion of CLOs, apparently in order to liquidate them and unwind related trades.

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