Alert September 02, 2003

Financial Services Alert

  • FRB Proposes Interpretation and Issues Guidance Regarding Anti-Tying Rules Expanding “Traditional Bank Product” Exception
  • Second Circuit Affirms Dismissal of Complaint under Section 16(b) of the Exchange Act against Group Including Registered Investment Advisers
  • OCC Amends Public Welfare Investment Regulations
  • SEC Issues Deficiency Letters to BDs That Have Offered Networking Services to Customers of Thrifts through Service Corporations Not Registered as BDs
  • IRS Issues Ruling Concerning RIC Asset Diversification Requirement under Section 851