Alert October 22, 2002

Financial Services Alert

  • NYSE and Nasdaq Propose to Require Stockholder Approval of Equity Compensation Plans
  • FDIC Issues Letter Concerning its Examination Procedures for Assessing Information Technology Risk
  • DOL Amends Broker-Dealers’ Prohibited Transaction Class Exemption
  • DOL Provides Guidance on Fiduciary Duties Related to ESOP Loan Refinancings
  • Goodwin Procter’s Corporate Department Issues Advisory Concerning Sarbanes-Oxley Act Prohibition on Personal Loans to Directors and Executive Officers
  • SEC Proposes Further Sarbanes-Oxley Implementing Rules