Alert September 28, 2004

Financial Services Alert

  • SEC Staff Issues Further Guidance Concerning the Use of Proxy Voting Services by Registered Advisers
  • OCC Issues Advisory Letter Concerning Certain Unacceptable Credit Card Marketing and Account Management Practices
  • SEC Approves NASD Compliance Officer and CEO Certification Rule
  • FDIC Extends Comment Period on its Proposed Changes to Community Reinvestment Act
  • OCC Reports U.S. Banks' Volume of Derivatives Increases to Record Level