Alert June 10, 2003

Financial Services Alert

  • SEC Adopts Changes to Sarbanes-Oxley Section 302 and 906 Certification Related Requirements for Funds
  • Massachusetts DOR Issues Release Concerning REITs, Security Corporations
  • FRB Proposes to Amend Regulation K to Require AML Compliance Programs for Edge and Agreement Corporations and U.S. Branches of Foreign Banks; SAR Form also Amended
  • SEC Issues Interpretive Release Clarifying Recently Modified Broker-Dealer Books and Records Rules
  • FRB Publishes Final Amendments to Regulation C Commentary