Alert September 18, 2007

Financial Services Alert - September 18, 2007

  • District Court Upholds Continuing Preemption upon Transfer of National Bank Assets; Rejects Contingent Attorneys Fees under FDCPA
  • California Appellate Court Rules that Attorney General’s Suit Against Broker‑Dealer over Revenue Sharing on Mutual Fund Sales not Pre‑Empted by NSMIA
  • SEC Approves FINRA Rule Change Governing Sale of Deferred Variable Annuities
  • SEC Will Consider Final Joint Rules with FRB Exempting Banks from Definitions of “Broker” and “Dealer” under Exchange Act