Alert June 13, 2006

Financial Services Alert - June 13, 2006

  • NYSE Proxy Working Group Issues Report and Recommendations Regarding Broker Discretionary Voting and Fee Arrangements for Member Distribution of Proxy Materials
  • IRS Extends Transition Period for Ruling on Commodity Index Derivative Contracts
  • SEC Disciplines Adviser Regarding RFP Responses and Compliance Program
  • FinCEN Issues Guidance Concerning Obligations of FCMs under Section 312 of USA Patriot Act
  • SEC Staff Provides No-Action Relief Regarding Qualified Purchaser Status of Trust Used to Facilitate Partnership’s Liquidation
  • Comptroller Dugan Urges Congress to Increase Bank and Thrift Authority to Invest in Low- and Moderate-Income Communities
  • SEC Staff Provides No-Action Relief Regarding Reliance on Rule 17a-8 with Respect to Fund’s Reorganization into Two Affiliated Funds
  • SEC Announces Full Text Searching of EDGAR Filings