April 10, 2007

Financial Services Alert - April 10, 2007

  • Federal Court of Appeals for the D.C. Circuit Vacates SEC Rule Addressing Advisers Act Exception for Broker-Dealers
  • SEC Proposes Amending Broker-Dealer Rules Regarding Free Credit Balance Sweeps; Reserves on Deposit at Banks; and Securities Finance Transactions
  • Federal Bank Regulatory Agencies Issue Interim Rules Extending Examination Cycle for Smaller Financial Institutions
  • Basel News Available on Goodwin Procter Website