Securities Brokerages : Finance and Banking

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Countdown on Regulation B: New Challenges for Banks
Melanie L. Fein of Goodwin Procter LLP

The Securities and Exchange Commission recently issued proposed Regulation B to implement the bank exemptions from securities broker regulation provided by the Gramm-Leach-Bliley Act in 1999. Regulation B supercedes the SEC's final interim rules adopted in 2001 which were put on hold after banks, banking regulators, and members of Congress objected that those rules would disrupt traditional banking activities contrary to the intent of Congress.
Yours and Your Broker's Responsibilities
Law Offices of Steve A. Buchwalter

A. Your Broker's Responsibility to You In most states, when a securities broker "hangs out his shingle" he .
Securities and Exchange Commission Division of Enforcement Complaint Center
U.S. Securities and Exchange Commission

Publication from the Securities and Exchange Commission (SEC) which explains how to contact the SEC and other agencies about fraud.
On-Line Brokerage: Keeping Apace of Cyberspace--Summary
Rosenman & Colin LLP

After a series of on-line investing roundtables conducted earlier this year, Securities and Exchange Commissioner .
Cold Calling Alert
U.S. Securities and Exchange Commission

A brochure from the Securities and Exchange Commission which tells consumers about legal rights, how to deal with cold calls, how to stop them, and how to evaluate any investment opportunity that comes their way over the phone.
SEC Issues No-Action Letter Concerning Pre-Paid Forward Contracts on Equity Securities
Ray Shirazi of Cadwalader, Wickersham & Taft LLP

In recent years, equity securities have become an increasingly important component of the financial portfolios of i.

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