Alert July 11, 2006

Financial Services Alert - July 11, 2006

  • FRB Rules BHCs may Engage in Commodity Purchase and Forward Sale Financing Transactions
  • SEC Publishes For Comment Proposed NASD Variable Annuity Suitability Rule
  • FDIC Publishes Article on Operational Risk Management
  • The SPARK Institute Updates Model Rule 22c-2 Contract Language and Issues Best Practices for Monitoring Frequent Trading
  • NASD Makes Available Webcasts on Examination Preparation and Breakpoints
  • SEC Publishes Request for Information Preparatory to Study of Impact of Broker-Dealer and Investment Adviser Regimes on Individual Investors
  • SEC Slated to Act on Soft Dollar Interpretive Release at July 12 Open Meeting
  • Independent Directors Council Issues Report on Board Consideration of Fund Mergers