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DOL Amends Underwriter Exemptions
Mayer Brown Link to more items from this source
[Guidance Overview]
July 30, 2013

"In light of regulatory developments, including certain Dodd-Frank provisions relating to statutory and regulatory references to credit ratings, on July 9, 2013, the DOL amended the Underwriter Exemptions ... to modify the definition of 'rating agency.' ... [D]isclosures for securities issued on or after the [July 9, 2013] Effective Date and in reliance on the Underwriter Exemptions will need to be revised to reflect the new definition ... In addition, parties to securitization transactions that intend to rely on an Underwriter Exemption will need to consider the appropriate confirmation that at least one agency rating the securities satisfies all of the new requirements under the Amendment."

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