Alert September 07, 2004

Financial Services Alert

  • SEC Issues Adopting Release for Rule 12b-1 Prohibition on Mutual Fund Directed Brokerage
  • USA PATRIOT Act § 314(a) Fact Sheet and New Information on Trends in SARs
  • GAO Reports Analyzes Effect on Defined Contribution Plan Participants of SEC's Proposals Regarding the Submission Deadline for Mutual Fund Transactions and Mandatory Redemption Fees
  • FRB Grants Section 23A Exemption to Bank which Purchased Commercial Mortgage Credits from Affiliate