Alert November 12, 2002

Financial Services Alert

  • SEC Proposes Rule Amendments and a New Rule Addressing the Bank Exemptions to Dealer Registration under the Gramm-Leach-Bliley Act
  • FRB Issues Final Rule Revising Discount Window Programs
  • SEC Reminds Funds that Prohibitions on Joint Transactions with Affiliates Apply to Reimbursement of Proxy Contestants
  • Proposed Amendment of CFTC’s Rule 4.5 with respect to CPOs
  • FASB Finalizes Statement on Acquisition of Certain Financial Institutions