Alert January 08, 2002

Financial Services Alert

  • SEC Broadens Interpretation of Section 28(e) under the 1934 Act to Include Certain Principal Transactions
  • OCC Orders Banks to Cease Payday Lending Program
  • Department of Treasury and FDIC Issue Further Guidance Regarding Anti-Money Laundering Compliance and Its Consideration as a Factor in M&A Applications
  • NASD Revises Proposal to Amend Rules Governing Member Communications with the Public
  • OCC Permits Holding Company to Merge into National Bank