Alert November 03, 2004

Financial Services Alert

  • SEC Extends Date for Bank Broker Compliance
  • NASD Chairman Announces Upcoming Report from Mutual Fund Task Force on Soft Dollar Reform
  • OCC Issues Letter Concluding that Under Certain Circumstances National Bank May Issue Financial Warranty
  • Federal Banking Agencies Publish Draft IRB Retail Credit Guidance
  • SEC Votes to Approve Hedge Adviser Registration Requirements
  • ICI Says SEC Will Delay Adviser Code Ethics Requirement Compliance Date