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Public Finance Update - July 2011
As Congress continues its standoff regarding the country’s debt ceiling, Moody’s Investors Service has placed five triple-A states under review for a possible downgrade in light of their dependence on the ability of the United States to pay its bills.
United States
4 Aug 2011
2
Using Existing Registration Statements After A Decline In Market Capitalization
Substantial decreases in the trading prices of many companies’ common stock in recent months have left these companies with reduced market capitalization.
United States
 
28 Jan 2009
3
Anti-Dilution Provisions of Equity Compensation Plans May Need to Be Amended to Avoid Compensation Expenses Under FAS 123(R)
It has been standard practice for issuers to modify outstanding equity compensation awards in connection with changes in the issuer’s capital structure (such as stock splits, stock dividends, recapitalizations, mergers, consolidations, spin-offs, split-offs and extraordinary cash dividends) in order to preserve the economics of these awards.
United States
 
23 Aug 2006
4
Anti-Dilution Provisions of Equity Compensation Plans May Need to Be Amended to Avoid Compensation Expenses Under FAS 123(R)
It has been standard practice for issuers to modify outstanding equity compensation awards in connection with changes in the issuer’s capital structure (such as stock splits, stock dividends, recapitalizations, mergers, consolidations, spin-offs, split-offs and extraordinary cash dividends) in order to preserve the economics of these awards.
United States
 
27 Jan 2006
Federal Agencies Jointly Issue FAQs Concerning Customer Information Programs
The FRB, FDIC, FinCEN, NCUA, OCC, OTS and the U.S. Department of the Treasury (the "Agencies") jointly issued an updated set of frequently asked questions (the "FAQs") to provide interpretive guidance regarding the customer identification program requirements of Section 326 of the USA PATRIOT Act and the regulations thereunder (collectively, "Section 326").
United States
 
4 May 2005
6
FDIC, OCC and FRB Issue Revised Proposed Changes to Community Reinvestment Act Rules; OTS Issues Final Rule Granting Large Thrifts Flexibility to Choose Weights Assigned to CRA Lending, Investment and Service Tests
The FDIC and OCC jointly and the FRB, separately, (collectively, the "Agencies") issued substantially identical Notices of Proposed Rulemaking (the "NPRs"), concerning proposed revisions to the Agencies’ regulations implementing the Community Reinvestment Act ("CRA"). The NPRs state that the Agencies are responding to public comments on proposals regarding CRA set forth in releases issued in February and August 2004.
United States
 
2 Mar 2005
7
SEC Approves Final Rule on Disclosure and Registration of Asset-Backed Securities
On December 15, 2004 the SEC approved new rules that will for the first time provide a comprehensive securities regulatory framework for publicly issued mortgage-backed and asset-backed securities (collectively referred to herein as "ABS"). The new rules primarily address four areas of securities regulation: (1) registration requirements under the Securities Act of 1933, as amended (the "1933 Act"); (2) disclosure; (3) communications during the offering process; and (4) ongoing reporting require
United States
28 Feb 2005
8
SEC Approves Final Rule on Disclosure and Registration of Asset- Backed Securities
On December 15, 2004 the SEC approved new rules that will for the first time provide a comprehensive securities regulatory framework for publicly issued mortgage-backed and asset-backed securities (collectively referred to herein as "ABS").
United States
 
19 Jan 2005
9
OTS Rules Thrift Op Subs May Underwrite ABS
The OTS issued an interpretive letter ("P-2004-5") holding that thrifts may establish an operating subsidiary to own, sell and underwrite asset-backed securities ("ABS"). The thrift had conducted such ABS underwriting activities through a holding company subsidiary, but to save on discounts and commissions, now wished to perform the activities through an operating subsidiary.
United States
 
1 Dec 2004
10
The New Form 8-K: Interpretive Issues for REITs and REOCs
The amendments to Form 8-K adopted earlier this year by the Securities and Exchange Commission became effective on August 23, 2004.
United States
28 Sep 2004
11
FRB Finalizes Regulation CC Amendments to Implement Check 21
Check 21 as implemented includes provisions that will affect all banks, even those that do not choose to create substitute checks. For example, any bank that transfers, presents, or returns a substitute check for consideration would make the substitute check warranties and would be responsible for indemnifying any person that suffered a loss due to the receipt of a substitute check instead of the original check. In addition, if a consumer to whom a bank transfers a substitute check suffers a los
United States
25 Aug 2004
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