Alert November 06, 2007

Financial Services Alert - November 6, 2007

  • Banking Agencies Publish Final Rulemaking for US Basel II
  • SEC Staff Provides No Action Relief in Connection with Standby Letter of Credit Purchased by Money Market Fund Adviser with Respect to Fund’s Structured Investment Vehicle Holding
  • FDIC’s Proposed Amendments to Rules Concerning a Financial Institution’s Audit Committee
  • SEC Proposes Mandatory Electronic Submission for Applications for Exemptive Relief under Investment Company Act and Filings under Regulation E
  • SEC/FINRA Announce Broker-Dealer CCO Outreach Program