Alert June 06, 2006

Financial Services Alert - June 6, 2006

  • FRB Permits VPP Transactions Involving Physical Commodities
  • NYSE Issues Information Memo Providing Further Guidance on Member Obligations with Respect to Prohibition on Participation in Directed Brokerage Arrangements
  • GAO Issues Report Recommending that OCC Clarify the Applicability of State Consumer Protection Laws to National Banks
  • Basel Committee Issues Revised Guidance on Home-Host Information Sharing
  • FinCEN Releases FAQs Concerning Insurance Company AML and SAR Requirements
  • OCC Issues Letter Granting Waiver that Allows Certain Bank Officers and Employees to Report Personal Securities
  • Transactions within 30 days after End of Quarter
  • SEC Provides Guidance on Electronic Filing Issues for Investment Company Registrants
  • Federal Banking Agencies and DOL Enter into Revised Agreement Concerning Information Sharing