Alert May 04, 2004

Financial Services Alert

  • SEC Proposes Rules to Except Certain Thrifts from Advisers Act Registration and Exempt Their Collective Funds from 1934 Act Requirements
  • OCIE Director Urges Assessment of Compliance Risks
  • OCC Issues Letter Describing Risks of Deceptively Offered Secured Credit Cards
  • DOL Proposes Amendment to Prohibited Transaction Class Exemption Concerning Securities Transactions Involving Broker-Dealers and Banks
  • SEC to Propose Comprehensive Registration, Disclosure and Reporting Rules for Asset-Backed Securities
  • NASD Withdraws Proposal to Permit Related Performance in Fund Advertising