Alert March 07, 2006

Financial Services Alert - March 7, 2006

  • SEC Proposes Amendments to Rule Governing Arrangements between Mutual Funds and Intermediaries that Maintain Omnibus Accounts
  • FRB-NY President Speaks on Risks in OTC Derivative Market
  • FRB Issues Final Rule Increasing Threshold of a Qualifying “Small Bank Holding Company” from $150 Million to $500 Million in Assets
  • SEC to Conduct Broker-Dealer/Investment Adviser Study
  • DOL Grants Extension of Deadline for Fiscal 2005 LM-10 Filings