Alert January 03, 2006

Financial Services Alert

  • FRB – Philadelphia Publishes Study on Basel II Competitive Impact on US Credit Card Lending
  • SEC Staff Provides Guidance on Broker-Dealer Financial Planning Activities under Recently Adopted Rule Relating to Advisers Act Broker-Dealer Exception
  • OCC Issues Guidance on its Process for Taking Administrative Actions Against Banks Based on BSA Violations
  • SEC Commissioner Nazareth Discusses Soft Dollars and Best Execution at Mutual Fund Directors Forum Workshop
  • ICI Urges SEC Staff to Require TPAs to Register as Transfer Agents