hard · Asset-Backed Securities

An investor is comparing a 'Public' ABS (Form SF-3) to a 'Rule 144A' private placement from the same issuer.

Which of the following is a primary 'cost' the investor pays for the higher yield typically offered by the 144A bond?

  1. A higher risk of 'True Sale' invalidation because private deals do not require legal opinions.
  2. The requirement to hold the bond for a minimum of 10 years before any secondary sale is permitted.
  3. The lack of any monthly servicer reports or performance monitoring by rating agencies.
  4. Reduced secondary market liquidity and a narrower investor base consisting only of Qualified Institutional Buyers (QIBs).

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