Alert October 02, 2007

Financial Services Alert - October 2, 2007

  • FRB and SEC Finalize Regulation R
  • SEC Staff Grants No-Action Relief from Advisers Act Custody Requirements for Inadvertent Receipt of Client Assets from Third Party
  • CFTC Provides No-Action Relief Allowing Commodity Pool’s Investment Manager to Register as CPO In Lieu of Pool’s General Partner