Alert December 28, 2004

Financial Services Alert

  • SEC Denies No-Action Relief on Broker-Dealer Registration to Marketer of Hedge Funds
  • Federal Banking Agencies Finalize Rule on Proper Disposal of Consumer Information under the FACT Act
  • SEC Adopts Transfer Agent Rule with Respect to Securities Subject to Issuer Restrictions or Prohibitions on Ownership of Securities by Securities Intermediaries
  • OTS Issues General Rebuttal of Control Order to Investment Adviser
  • FinCEN Issues Interpretation Clarifying That a Filing with OFAC Will Generally Be Deemed to Satisfy SAR Requirement