Alert October 25, 2005

Financial Services Alert

  • SEC Proposes to Issue Interpretive Guidance Regarding Client Commission Practices
  • Court Schedules Oral Argument in Chamber of Commerce Lawsuit Challenging SEC Mutual Fund Governance Rules
  • FDIC Publishes Article by Staff Member Concerning Effect of New Bankruptcy Amendments on Derivatives and Other Financial
  • Contracts
  • FDIC Issues Guidance Concerning Corporate Codes of Conduct
  • NASD Files Proposal to Extend Due Date for Initial Annual Report and Annual Certification
  • FRB Issues Second Regulation Z Notice of Proposed Rulemaking
  • NASD Issues Amendments to Broker-Dealer Branch Office Definition
  • Goodwin Procter and RMA to Conduct Webinar on Basel IA