Alert September 09, 2003

Financial Services Alert

  • Federal and State Enforcement Bodies Investigate Market Timing and Late Trading in Mutual Fund Shares
  • FRB Grants Brokerage Account Exception from Tying Rules
  • DOL Proposes Amendment to QPAM Exemption
  • SEC Brings Enforcement Actions Related to Trading Based on Non-Public Information on Treasury's Decision to Cease Issuance of 30-Year Bond