Alert October 07, 2003

Financial Services Alert

  • SEC Amends Registered Investment Company Advertising Rules
  • FRB Authorizes FHC Physical Commodity Trading Activities
  • SEC Proposes Rules to Broaden Exemptions from 1940 Act Fund-of-Fund Prohibitions
  • OCC Reaffirms Broad Power of, and Authority Over, National Bank Op Subs
  • SEC Brings Civil Action for Late Trading of Mutual Fund Shares
  • Standards and Procedures for Electronic Records and Signatures (“SPeRS”) Conference