- SEC Proposes Rules to Except Certain Thrifts from Advisers Act Registration and Exempt Their Collective Funds from 1934 Act Requirements
- OCIE Director Urges Assessment of Compliance Risks
- OCC Issues Letter Describing Risks of Deceptively Offered Secured Credit Cards
- DOL Proposes Amendment to Prohibited Transaction Class Exemption Concerning Securities Transactions Involving Broker-Dealers and Banks
- SEC to Propose Comprehensive Registration, Disclosure and Reporting Rules for Asset-Backed Securities
- NASD Withdraws Proposal to Permit Related Performance in Fund Advertising