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Banking and Financial Infrastructure Continuity: Pandemic Flu, Terrorism, and Other Challenges

Description: This report outlines the financial sector's recovery plans for two kinds of disasters: the inability to conduct transactions and large losses of asset value. The basic function of the payment system is carried out by banks, and monetary policy affects banks immediately. Because brokers, exchanges, secondary market facilities, and insurance companies carry out crucial financial functions, their regulators and trade associations are involved in continuity of operations planning for contingencies.
Date: May 4, 2009
Creator: Weiss, N. E.
Partner: UNT Libraries Government Documents Department

The Changing World of Financial Intermediaries and Related Institutions: Survey of Major Developments and Their Implications for Public Policy

Description: Inflation, high and variable interest rates, and new electronic technology have had a profound impact on financial institutions throughout the world. This report surveys how the various kinds of financial institutions in the United States have been affected by these developments, how they have reacted, what major legislative action has been taken, and what policy issues remain.
Date: December 30, 1982
Creator: Allen, Julius W
Partner: UNT Libraries Government Documents Department

Financial Services and General Government (FSGG): FY2008 Appropriations

Description: This report is a guide to a new appropriations bill that Congress is considering for the first time this year. It is designed to supplement the information provided by the House and Senate Appropriations Subcommittees on Financial Services and General Government. It summarizes the status of the bill, its scope, major issues, funding levels, and related congressional activity.
Date: July 20, 2007
Creator: Hatch, Garrett L.
Partner: UNT Libraries Government Documents Department

Financial Services and General Government (FSGG): FY2008 Appropriations

Description: This report is a guide to one of the regular appropriations bills that Congress considers each year. It is designed to supplement the information provided by the House and Senate Appropriations Subcommittees on Defense. For both defense authorization and appropriations, this report summarizes the status of the bills, their scope, major issues, funding levels, and related congressional activity.
Date: December 20, 2007
Creator: Hatch, Garrett L.
Partner: UNT Libraries Government Documents Department

Section 404 of the Sarbanes-Oxley Act of 2002 (Management Assessment of Internal Controls): Current Regulation and Congressional Concerns

Description: This report discusses Section 404 of the Sarbanes-Oxley Act of 2002, which requires the Securities and Exchange Commission (SEC) to issue rules requiring annual reports filed by reporting issuers to state the responsibility of management for establishing and maintaining an adequate internal control structure and procedures for financial reporting and for each accounting firm auditing the issuer's annual report to attest to the assessment made of the internal accounting procedures made by the issuer's management.
Date: July 21, 2010
Creator: Seitzinger, Michael V.
Partner: UNT Libraries Government Documents Department

Multilateral Development Banks: U.S. Contributions FY2000-FY2011

Description: This report shows in tabular form how much the Administration has requested and how much Congress has appropriated for U.S. payments to the multilateral development banks (MDBs) since 2000. It also provides a brief description of the MDBs and the ways they fund their operations. It will be updated periodically as annual appropriation figures are known.
Date: March 11, 2011
Creator: Nelson, Rebecca M.
Partner: UNT Libraries Government Documents Department

Finance and the Economy: Occupy Wall Street in Historical Perspective

Description: This report presents examples of political statements about the fundamental costs and benefits of finance and recent economic research that points to aspects of financial activity that may not be advantageous to the real economy. The report does not attempt a comprehensive survey of either literature, but provides a reminder of the breadth of the historical debates that have shaped congressional oversight of financial institutions and markets.
Date: November 14, 2011
Creator: Jickling, Mark & Hoskins, Sean M.
Partner: UNT Libraries Government Documents Department

North America. Volume II, Part 2

Description: This report describes a study that includes a review of the history of the losses of customer funds due to the insolvency of a future commission merchant.
Date: November 20, 1986
Creator: United States. Congress. Office of Technology Assessment
Partner: UNT Libraries Government Documents Department

North America. Volume II, Part 2

Description: This report discusses clearing agencies with the Securities and Exchange Commission that are an integral part of clearing and settlement for the national clearing and settlement market system. This is the part 2 of volume 1.
Date: 1987
Creator: United States. Congress. Office of Technology Assessment
Partner: UNT Libraries Government Documents Department

North America. Volume II, Part 1

Description: This report discusses clearing agencies with the Securities and Exchange Commission that are an integral part of clearing and settlement for the national clearing and settlement market system.
Date: 1989
Creator: United States. Congress. Office of Technology Assessment
Partner: UNT Libraries Government Documents Department

Federal Deposit Insurance for Banks and Credit Unions

Description: This report provides an overview of the FDIC and the National Credit Union Administration (NCUA), the status of the Deposit Insurance Fund (DIF) and National Credit Union Share Insurance Fund (NCUSIF), and the resolution procedures that are implemented when depository institutions fail.
Date: April 22, 2014
Creator: Getter, Darryl E.
Partner: UNT Libraries Government Documents Department

Changes to "Too Big to Fail" Treasury Recommends Revisions to Dodd-Frank SIFI Designation Process for Non-Banks (Part 1)

Description: First part of a report discussing the Treasury Department's recent report recommending revisions to the Financial Stability Oversight Council's (FSOC's) process for designating non-bank financial institutions as "systematically important financial institutions (SIFI's) also known as "Too Big to Fail" institutions. This part provides general background on the SIFI designation process
Date: December 1, 2017
Creator: Sykes, Jay B.
Partner: UNT Libraries Government Documents Department

Changes to "Too Big to Fail" Treasury Recommends Revisions to Dodd-Frank SIFI Designation Process for Non-Banks (Part 2)

Description: Second part of a report discussing the Treasury Department's recent report recommending revisions to the Financial Stability Oversight Council's (FSOC's) process for designating non-bank financial institutions as "systematically important financial institutions (SIFI's) also known as "Too Big to Fail" institutions. This part discusses the legal debate over the designation process, the Treasury Department's recommended changes for the process, and how those changes may affect the Senate's consideration of the Financial CHOICE Act of 2017 (which would repeal FSOC's authority to designate non-banks as SIFIs altogether).
Date: December 1, 2017
Creator: Sykes, Jay B.
Partner: UNT Libraries Government Documents Department

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

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 that these institutions might voluntarily take.
Date: December 4, 2014
Creator: Carpenter, David H.
Partner: UNT Libraries Government Documents Department

Who Regulates Whom? An Overview of U.S. Financial Supervision

Description: This report provides an overview of current U.S. financial regulation: which agencies are responsible for which institutions, activities, and markets, and what kinds of authority they have. Some agencies regulate particular types of institutions for risky behavior or conflicts of interest, some agencies promulgate rules for certain financial transactions no matter what kind of institution engages in it, and other agencies enforce existing rules for some institutions, but not for others. These regulatory activities are not necessarily mutually exclusive.
Date: December 8, 2010
Creator: Jickling, Mark & Murphy, Edward V.
Partner: UNT Libraries Government Documents Department

Insolvency of Systemically Significant Financial Companies: Bankruptcy vs. Conservatorship/Receivership

Description: This report first discusses the purposes behind the creation of a separate insolvency regime for depository institutions. The report then compares and contrasts the characteristics of depository institutions with systemically significant financial companies (SSFCs). Next, the report provides a brief analysis of some important differences between the FDIC's conservatorship/receivership authority and that of the Bankruptcy Code.
Date: April 20, 2009
Creator: Carpenter, David H.
Partner: UNT Libraries Government Documents Department