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ARTICLE · 10 NOVEMBER 2005

SEC Holds CCOutreach National Seminar

Goodwin Procter LLP
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Following a series of regional seminars held as part of its outreach program to adviser and mutual fund chief compliance officers (“CCOs”), today the SEC staff hosted a national seminar in Washington, D.C. (the “National Seminar”), with panels featuring senior-level SEC staff and CCOs from both large and small firms. Panel topics for the National Seminar were (a) the role of the CCO and the annual review of compliance policies and procedures, (b) exams and inspections, (c) trading and market iss

United StatesFinance and Banking

Contents

Developments of Note

1. SEC Holds CCOutreach National Seminar

2. FinCEN Announces Issuance of Two Final Rules Requiring Certain Insurance Companies to Establish AML Program and File SARs

3. FASB Issues Guidance on Treatment of Nontraditional Loan Products

4. NASD Seeks Permanent Approval of Requirements Relating to Use of Bond Fund Volatility Ratings in Mutual Fund Sales Literature

5. FDIC Issues Report Concerning “Stroke-of-the-Pen” Risks and Effect of SOX on Banking Institutions

Other Item of Note

6. Recorded Version of Materials from Basel 1A Webinar Available on Goodwin Procter Website

Developments of Note

SEC Holds CCOutreach National Seminar

Following a series of regional seminars held as part of its outreach program to adviser and mutual fund chief compliance officers (“CCOs”), today the SEC staff hosted a national seminar in Washington, D.C. (the “National Seminar”), with panels featuring senior-level SEC staff and CCOs from both large and

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