Alert September 30, 2003

Financial Services Alert

  • DOL Provides Guidance on Prospectus Delivery Requirement under Section 404(c) of ERISA
  • Preemption Reconsidered in Maryland Court of Appeals Decision
  • SEC Adopts Amendments to Adviser Self Custody Rules
  • SEC Division of Investment Management Issues Hedge Fund Report Including Recommendations
  • OCC Issues Alert Concerning Mitigating Risks of E-Mail Related Customer Identify Theft
  • SEC Amends Non-Cash Compensation Provisions of 2 NASD Rules