Alert June 01, 2004

Financial Services Alert

  • District Court Upholds Preemption with National Bank Operating Subsidiaries
  • SEC Staff Addresses Use by Advisers of Independent Third Parties to Vote Client Proxies
  • Agencies Issue Guidance and FRB Proposes Regulation DD Amendments on Overdraft Protection Programs
  • Federal Agencies Issue Advisory Concerning Recent Judicial Reaffirmation of SAR “Safe Harbor”
  • NASD Announces Mutual Fund Task Force
  • SEC Adopts Breakpoint Disclosure and Adviser Code of Ethics Requirements
  • FRB Announces Study on Debit Card Fees