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ARTICLE · 11 NOVEMBER 2009

Financial Services Alert - Issues During The Most Recent Quarter

Goodwin Procter LLP
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Treasury Financial Regulatory Reform Program – Proposed Legislation Regulating the OTC Derivatives Markets

United StatesFinance and Banking

August 18, 2009

  • Treasury Financial Regulatory Reform Program – Proposed Legislation Regulating the OTC Derivatives Markets
  • Proposed SEC Rule Addresses "Pay to Play" Practices by Investment Advisers Seeking to Manage Money on Behalf of State and Local Governments
  • The Federal Reserve Bank of Cleveland Issues Policy Paper on Criteria for Systemically Important Financial Institutions
  • SEC Staff Grants No-Action Relief Regarding Investment by Foreign Funds in U.S. Registered Funds
  • Congressional Oversight Panel Issues Report on Continued Risk of Troubled Assets
  • SEC Staff Grants No-Action Relief to Allow Advisers to Rely on Confirmation Transmission Service to Meet Advisers Act Recordkeeping Requirements

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