Alert September 04, 2007

Financial Services Alert - September 4, 2007

  • FRB Authorizes BHC Ownership of SHLC Preferred Stock Convertible into Greater than 5% Voting Stock
  • SEC Settles with Hedge Fund Adviser over Failure to Make Form 13F Filings Regarding Client Securities Holdings
  • FRB Relaxes Risk Capital Requirements for Securities Collateralized Loans
  • FINRA Clarifies Privacy Issues with Respect to its Guidance Regarding Supervision of Newly Associated Registered Representatives
  • SEC Staff Issues Reminder Regarding Regulation S-P Privacy Obligations with Respect to Rule 22c-2 Information