October 9, 2007

Financial Services Alert - October 9, 2007

  • GAO Issues Report on Enhancements to SEC Examination Program
  • SEC Settles Administrative Proceedings with Pension Consultant and its Chief Compliance Officer over Code of Ethics and Compliance Program Shortcomings
  • SEC Permits Banks to Engage in Certain Reg S and Conduit Lending Transactions Without Being Deemed a "Dealer"
  • District Court Rejects Application of Preemption of State Mortgage Laws to Independent Agents of Federal Thrifts
  • GAO Issues Report Addressing Limitations in SEC Enforcement Division’s Operations