November 4, 2003

Financial Services Alert

  • SEC Proposes Providing Alternative Net Capital Computations for Broker-Dealers That Elect Status as Consolidated Supervised Entities
  • OTS Rules Escrow Provision Preempted Even with New York Choice of Law Provision
  • SEC Issues Proposed Rules Regarding Short Sales
  • Federal Banking Agencies Issue Guidance on Independent Real Estate Appraisals and Evaluations
  • OCC Issues Updated Corporate Governance to Bank Directors
  • Federal Banking Agencies Request Comment on Basel Revisions