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 Country: United States
 Collection: Congressional Research Service Reports
"Living Wills": The Legal Regime for Constructing Resolution Plans for Certain Financial Institutions

"Living Wills": The Legal Regime for Constructing Resolution Plans for Certain Financial Institutions

Date: December 4, 2014
Creator: Carpenter, David H.
Description: One of the chief objectives of the Dodd-Frank Wall Street Reform and Consumer Protection Act (DFA) is to promote financial stability within the United States, without the need for emergency governmental assistance to troubled firms. To achieve this goal, the DFA establishes a heightened regulatory regime for certain, generally large "covered financial institutions." A pillar of this heightened regulatory regime is that each covered financial institution must submit "credible" plans to the Board of Governors of the Federal Reserve System (FRB) and the Federal Deposit Insurance Corporation (FDIC) detailing how the firm could be quickly resolved in an orderly fashion under the U.S. Bankruptcy Code or other applicable insolvency regime "in the event of a material financial distress or failure." These resolution plans are commonly referred to as "living wills." This report reviews the legal structure of the DFA's living will requirements, pursuant to both DFA Section 165(d) and the regulations and guidance issued jointly by the FRB and FDIC, and explains the August 2014 joint announcement of the FRB and FDIC regarding the inadequacies of the 2013 living wills filed by the 11 largest, most complex financial institutions in the country. This report also examines some of the steps ...
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Export-Import Bank Reauthorization: Frequently Asked Questions

Export-Import Bank Reauthorization: Frequently Asked Questions

Date: November 26, 2014
Creator: Akhtar, Shayerah Ilias; Carpenter, David H.; Levit, Mindy R. & Taylor, Julia
Description: This report addresses frequently asked questions about Ex-Im Bank, grouped in the following categories: congressional interest and the Ex-Im Bank reauthorization debate; market context; international context; organizational structure and management; programs; statutory requirements and policies; risk management; budget and appropriations; implications of a sunset in authority; and historical and current approaches to reauthorization.
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Palestinian Authority: U.S. Payments to Creditors as Alternative to Direct Budgetary Assistance?

Palestinian Authority: U.S. Payments to Creditors as Alternative to Direct Budgetary Assistance?

Date: October 20, 2014
Creator: Zanotti, Jim
Description: A September 24, 2014, congressional notification (CN) from the U.S. Agency for International Development (USAID) may reflect a new executive branch approach in assisting the Palestinian Authority (PA) to pay off some of the debts it incurs in providing various benefits and services to West Bank and Gaza residents. The CN indicates that USAID plans to obligate a total of $100 million in FY2014 bilateral economic assistance for the Palestinians toward direct U.S. payments to PA creditors. This report briefly discusses the details and implications of this new alternative method.
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State Small Business Credit Initiative: Implementation and Funding Issues

State Small Business Credit Initiative: Implementation and Funding Issues

Date: October 16, 2014
Creator: Dilger, Robert Jay
Description: This report examines the State Small Business Credit Initiative (SSBCI) and its implementation, including Treasury's response to initial program audits conducted by the U.S. Government Accountability Office (GAO) and Treasury's Office of Inspector General (OIG). The SSBCI provides funding, allocated by formula and distributed in one-third increments, to states, territories, and eligible municipalities (hereinafter referred to as states) to expand existing or create new state small business investment programs, including state capital access programs, collateral support programs, loan participation programs, loan guarantee programs, and venture capital programs.
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Multiemployer Defined Benefit (DB) Pension Plans: A Primer and Analysis of Policy Options

Multiemployer Defined Benefit (DB) Pension Plans: A Primer and Analysis of Policy Options

Date: October 7, 2014
Creator: Topoleski, John J.
Description: This report discusses the nature of multiemployer defined benefit (DB) pension plans, and issues regarding their financial solvency.
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Palestinian Authority: U.S. Payments to Creditors as Alternative to Direct Budgetary Assistance?

Palestinian Authority: U.S. Payments to Creditors as Alternative to Direct Budgetary Assistance?

Date: October 6, 2014
Creator: Zanotti, Jim
Description: A September 24, 2014, congressional notification (CN) from the U.S. Agency for International Development (USAID) may reflect a new executive branch approach in assisting the Palestinian Authority (PA) to pay off some of the debts it incurs in providing various benefits and services to West Bank and Gaza residents. The CN indicates that USAID plans to obligate a total of $100 million in FY2014 bilateral economic assistance for the Palestinians toward direct U.S. payments to PA creditors. This report briefly discusses the details and implications of this new alternative method.
Contributing Partner: UNT Libraries Government Documents Department
Dark Pools in Equity Trading: Policy Concerns and Recent Developments

Dark Pools in Equity Trading: Policy Concerns and Recent Developments

Date: September 26, 2014
Creator: Shorter, Gary & Miller, Rena S.
Description: This report examines the confluence of factors that led to the rise of dark pools; the potential benefits and costs of such trading; some regulatory and congressional concerns over dark pools; recent regulatory developments by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), which oversees broker-dealers; and some recent lawsuits and enforcement actions garnering significant media attention.
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Corporate Expatriation, Inversions, and Mergers: Tax Issues

Corporate Expatriation, Inversions, and Mergers: Tax Issues

Date: September 25, 2014
Creator: Marples, Donald J. & Gravelle, Jane G.
Description: This report discusses relevant portions of the U.S. corporate income tax system and how inversions have commonly been structured. It also looks at how Congress and Department of the Treasury have reduced the benefits of inversions, including The American Jobs Creation Act, as well as post-2004 inversions and treasury regulations, and policy options.
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Insurance Regulation: Issues, Background, and Legislation in the 113th Congress

Insurance Regulation: Issues, Background, and Legislation in the 113th Congress

Date: September 17, 2014
Creator: Webel, Baird
Description: This report discusses the legislation in the 113th Congress regarding insurance regulation. Among the insurance regulatory issues addressed by legislation in the 113th Congress are the application of federal orderly liquidation authority to insurers (addressed in H.R. 605); the supervision of some insurers by the Federal Reserve (addressed in H.R. 2140, H.R. 4510, H.R. 5461, S. 2102, and S. 2270); and the licensing of insurance agents and brokers (addressed in S. 534, S. 1926, S. 2244, H.R. 1155/H.R. 1064, and H.R. 4871).
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Social Security Reform: Legal Analysis of Social Security Benefit Entitlement Issues

Social Security Reform: Legal Analysis of Social Security Benefit Entitlement Issues

Date: September 17, 2014
Creator: Lanza, Emily M. & Nicola, Thomas J.
Description: This report addresses selected legal issues that may be raised regarding entitlement to Social Security benefits as Congress considers possible changes to the Social Security program in view of projected long-range shortfalls in the Social Security Trust Funds.
Contributing Partner: UNT Libraries Government Documents Department
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