| October 1, 2013 |
| New ERISA Litigation Update Available – Upcoming ERISA Litigation Webinar on Fiduciary Issues |
| FRB Issues Two Interim Final Rules Concerning Incorporation of Basel III Regulatory Capital Plans and Stress Tests |
| Comments on both the First Interim Final Rule and the Second Interim Final Rule are due to the FRB by November 25, 2013. |
| SEC Reopens Comment Period on Proposed Amendments to Regulation D Requiring Additional Reporting and Disclosure for Private Offerings |
| National Futures Association Advises Commodity Pool Operators on Prohibited Loans |
| OCC and FinCEN Take Enforcement Actions and Assess Civil Money Penalty Against Small Bank for BSA/AML Violations |
| October 15, 2013 |
| SEC Sanctions Adviser, Affiliated Broker-Dealer and Their Owner Over Class A Share Purchases and Commissions Paid on ETF Trades |
| SEC Staff Issues Guidance Regarding Compliance with Limitations on Participation in Follow-On and Secondary Offerings Imposed on Short Sellers by Rule 105 of Regulation M |
| FDIC Issues Guidance Regarding Exclusions from, and Limits on Indemnification for CMPs under, Director and Officer Liability Insurance Policies |
| OCC and FRB Final Rule Revising Regulatory Capital Requirements Published in Federal Register |
| The Final Rule is effective for banking organizations that used the advanced approaches on January 1, 2014 and for other banking organizations on January 1, 2015. |
Contacts
- /en/people/f/fischer-eric
Eric R. Fischer
Retired Partner