Financial services regulatory highlights

Monthly newsletter providing insight on current regulatory issues.

October 2009

House Financial Services Committee Addresses Key Pieces of Financial Regulatory Reform
Treasury and House Financial Services Committee Propose
The Financial Stability Improvement Act
SEC Approved New Exchange Rule for Breaking Clearly Erroneous Trades
Agencies Seek Comments on Guidance Regarding Correspondent Concentration Risks
Federal Reserve Board Proposes Rules Amending Credit Card Provisions of Regulation Z
FinCEN Issues Advisory to Financial Institutions on Filing SARs Regarding TARP-Related Programs
SEC Fines a Registered Broker-Dealer and Investment Adviser for Regulation S-P Violations
Small Public Companies to Begin Providing Audited Assessment of Internal Controls Over Financial Reporting
FINRA Warns Public of Scam Using Fake FINRA Emails in "Phishing" Scheme
Appendix: SEC Publishes 2010?2015 Draft Strategic Plan for Public Comment