Alert December 06, 2005

Financial Services Alert

  • Goodwin Procter and RMA to Host Second Basel IA Webinar
  • SEC Staff Provides Guidance on Treatment of ETFs for Personal Securities Transaction Reporting Purposes under Advisers and Investment Company Acts
  • SEC Staff Revisits Issues Raised by Broker‑Dealer Programs to Rebate 12b-1 Fees to Customers
  • NASD Reminds Broker-Dealers of Responsibilities Regarding Sales of Mutual Fund Shares and Dealer Agreements
  • FDIC Finalizes Amendments to Annual Independent Audit and Reporting Requirements
  • Basel Committee Issues Guidance on Expected Losses; Home-Host Issues