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- The Patriot Act. Are You Ready?
- "For years, non-bank financial institutions (""NBFIs""), such as casinos and automobile dealerships, have been subject to a number of statutory and regulatory requirements designed to assist the government in combating money laundering. On October 26, 2001, President Bush signed the USA Patriot Act into law. This law...
- White papers 2003-01-01
- Securities And Exchange Commission Amends Rules Governing Disclosure Of Equity Compensation Plans
- The Securities and Exchange Commission has amended its rules to require greater disclosure of equity compensation plan information. In particular, beginning with fiscal years ending after March 15, 2002, issuers will be required to disclose the number of outstanding options, warrants and rights outstanding under non-qualified equity compensation plans, as...
- White papers 2002-01-09
- Preparing To Sell Your Business In Today's Marketplace
- Today's mergers and acquisitions market, although less robust than several months ago, remains viable for both buyers and sellers. This paper reports 4,293 announced transactions in the first six months of 2001, a drop of 18% from the first half of 2000. It also reports a 51% drop in announced...
- White papers 2001-07-30
- Business Law Legislative Update Texas Legislature 2001
- This paper summarizes some of the bills that were passed by the 77th Texas Legislature and that affect business law. It explains the amendments of electronic filing & computer-related legislation. The bill also amends various provisions of the Local Government Code to permit filings.
- White papers 2003-01-01
- Securities And Exchange Commission Adopts New Rule Allowing Issuers To Switch Between Public And Private Offerings
- The Securities and Exchange Commission has adopted new Rule 155, which liberalizes the ability of issuers to change from a private to a public offering and vice versa. This new rule will be particularly useful in volatile markets, by setting the conditions under which an issuer that begins a private...
- White papers 2001-02-21
- Securities And Exchange Commission Amends Rules Regarding Delivery Of Proxy Materials To Households
- The Securities and Exchange Commission has adopted amendments to its proxy rules designed allow companies to satisfy the SEC's requirements for delivery of proxy statements to security holders who share the same address by providing a single proxy statement to those security holders. This delivery method is commonly referred to...
- White papers 2000-11-20
- Federal Electronic Records, Contracts and Signatures Legislation Becomes Law
- To facilitate the use of electronic records, contracts and signatures in interstate or foreign commerce, the United States Congress passed the "Electronic Signatures in Global and National Commerce Act" (S. 761), or "ESIGN" bill, and President Clinton signed it into law on Friday, June 30, 2000. The Act gives most...
- White papers 2000-09-15
- Securities And Exchange Commission Adopts New Rule Prohibiting Selective Disclosure
- Effective new Regulation FD will impose a new set of rules on the communications between issuers and analysts, institutional investors and shareholders. The new regulation is aimed at preventing what the staff and members of the Securities and Exchange Commission believe to be a pervasive practice by corporate insiders of...
- White papers 2000-08-25
- Tax Credits Have Financial Institutions Thinking about Developing New Markets
- The Community Renewal Tax Relief Act of 2000 the Act was enacted to promote private investment in designated low-income communities. This legislation attracted little notice within banking circles until very recently, in part because of significantly unresolved implementation issues. Now that details of the U.S. Treasury Department's implementation plan have...
- White papers 2003-01-01
- Public Institutions Must Enhance Audit Committees In the Wake of Corporate Scandals
- As the operating environment for financial services companies has become ever more complex, it has become increasingly difficult for boards of directors to monitor the accuracy of banks' financial reports. At a minimum, such financial reports must take into account new forms of assets and liabilities, a high level of...
- White papers 2003-01-01
- Legislative Update 2003: Changes Involving Texas Business Organizations Statutes
- The 78th Texas Legislature passed many bills affecting business law and business organizations during its regular session in 2003. The following discussion summarizes the primary bills that were passed in the 2003 Texas Legislature relating to business organizations. As a caveat, other bills may exist that affect business organizations or...
- White papers 2003-01-01
- Court Decisions Emphasize Importance Of Carefully Drafting Antidilution Provisions
- "Recent court decisions draw attention to the necessity for prudent drafting of adjustment provisions in agreements that give the holder the right to acquire stock. All options, warrants, convertible securities, and similar equity rights are subject to substantial diminution in value when the issuing company engages in various transactions. Consequently,...
- Case studies 2002-01-25
- Adventures In Subordination, An Uncertain Terrain
- In bankruptcy cases, where resources available to pay creditors are often limited, the enforcement of rights of contractual subordination, equitable subordination can play an important role in the reorganization process, and the allocation of the estate is limited resources. This article discusses certain essential decisions affecting indenture trustees and the...
- White papers 2003-01-01
- Compliance Programs for Unregistered Investment Companies
- The Patriot Act enhances the powers of the federal government and law enforcement organizations to combat money laundering and terrorism. The new law is very broad and covers not only traditional financial institutions, but also non-bank financial institutions. On September 18, 2002, the U.S. Department of Treasury released its Notice...
- White papers 2003-01-01
- Final Rule on Correspondent Accounts for Foreign Shell Banks and Foreign Banks
- "On September 26, 2002, the U.S. Department of Treasury published its final rule on correspondent accounts for foreign shell banks and foreign banks. The rule: prohibits covered financial institutions, requires covered financial institutions, requires the termination of correspondent accounts of foreign banks. Financial institutions should revise their anti-money laundering...
- White papers 2003-01-01
- Securities and Exchange Commission Issues Guidance on Md&A Disclosure of Liquidity and Capital Resources, Derivative Contracts and Related Party Transactions
- This paper talks about several recent events, including the Enron bankruptcy, have focused the attention of investors and the SEC on the quality of financial disclosures by public companies. This concern has been especially directed to the three areas that appear to be at the center of Enron's difficulties: off-balance...
- White papers 2002-02-05
- SEC Issues Rules on Sarbanes-Oxley Prohibition of Insider Trades During Employee Plan Blackout Periods
- This article provides only a general overview of the SEC rules. Section 306a of the Sarbanes-Oxley Act of 2002 (the "Act") prohibits any director or executive officer of an issuer during a employee plan blackout period from, directly or indirectly, purchasing, selling or otherwise acquiring or transferring any equity security...
- White papers 2003-01-26
- Provision Pertaining to the Audit of Public Companies
- The Act establishes a new regulatory body for accountants, who audit public companies, increases criminal penalties for violations of securities and related laws, and imposes far-reaching requirements on public companies, their officers and directors. This article focuses on those provisions of the act pertaining to the audit of public companies....
- White papers 2002-07-30
- Public Company Alert : What You Need to do in Response to the Sarbanes-Oxley Act of 2002
- The article discusses the provisions and the steps taken by the public companies in response to Sarbanes-Oxley Act. It focuses on the most immediate and concrete implications of the Act to public companies. The main issues considered are reporting requirements, CEO and CFO certification and actions, prohibition on fraudulently influencing...
- White papers 2002-07-30
- Rule Revisions that Implement Sarbanes-Oxley Prohibition on the Improper Influence on the Conduct of Audits
- Article talks about the new rule 13b2-2b(1) that prohibits officers and directors, and persons acting under their direction, from coercing, manipulating, misleading, or fraudulently influencing any auditor of an issuer's financial statements when the officer, director or other person knew or should have known that the action, if successful, could...
- White papers 2003-05-20
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