Alert September 25, 2007

Financial Services Alert - September 25, 2007

  • FRB and SEC Issue Final Version of Regulation R
  • SEC Settles Enforcement Proceeding with Pension Consultant over Failure to Disclose Conflict of Interest in Advisers Act Registration Statement Filings
  • Foreign Bank US Branch Obtains Regulation W Exemption
  • SEC Votes to Propose Amendments Regarding Interpretive Rules under the Advisers Act Affecting Broker-Dealers and to Adopt Temporary Advisers Act Rule regarding Principal Trades by Dually Registered Advisers with Advisory Clients
  • Federal Banking Agencies Issue Final Rules Expanding Examination Cycle for Certain Small Banks and Thrifts
  • Banking Agencies Propose Guidance on Garnishment of Exempt Federal Benefit Funds
  • IRS Seeks to Expand Look-Through Rules for Segregated Asset Accounts
  • SEC Announces 2007 National CCOutreach Seminar