Alert May 09, 2006

Financial Services Alert - May 9, 2006

  • FinCEN Issues Final Rule Regarding Mutual Fund Reporting of Suspicious Transactions
  • NYSE Issues Guidance on Compliance Reporting Lines
  • NASD and NYSE Issue Joint Guidance Regarding the Solicitation of Substantial Charitable Contributions by Employees or Agents of Certain Customers
  • SEC Publishes Semiannual Regulatory Agenda
  • U.S. Senate Banking Committee Approves Regulatory Relief Legislation
  • Goodwin Procter to Co-Host Compliance Seminar; Host Pre-conference Cocktail Party