Both required regulatory filings
and voluntary presentations are not responsive.
Wednesday, January 16, 2013 8:14 PM
Verne, B. Michael; Walsh, Kathryn
4(c) and Regulatory Presentations
Whatis the current position regarding 4(c)/(d) responsiveness of presentations madeto other U.S. regulators? Back in the day, I recall the PNO's position was thatrequired regulatory filings were not responsive to 4(c) but voluntarypresentations to other regulators could be responsive if they had 4(c) content.But are such presentations now considered in the same (non-responsive) categoryas public-facing documents, rating agency presentations, lender presentations,etc.? I wasn't able to find any recent informal opinions on this question.