Alert May 14, 2002

Financial Services Alert

  • SEC Further Extends Blanket Exceptions for Banks and Thrifts from Registration as Broker-Dealers
  • SEC Approves Rules to Address Analyst Conflicts
  • DOL Proposes Amendment to Prohibited Transaction Class Exemption Concerning Certain Transactions Through an Affiliated Broker-Dealer
  • OTS Conforms Lending Risk Capital Rules
  • Money Market Funds May Purchase Closed-End Fund Auction Market or Remarketed Preferred Stock
  • OTS Issues Updated Thrift Holding Company Handbook