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Goodwin Procter and RMA to Host Second Basel IA Webinar
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SEC Staff Provides Guidance on Treatment of ETFs for Personal Securities Transaction Reporting Purposes under Advisers and Investment Company Acts
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SEC Staff Revisits Issues Raised by Broker‑Dealer Programs to Rebate 12b-1 Fees to Customers
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NASD Reminds Broker-Dealers of Responsibilities Regarding Sales of Mutual Fund Shares and Dealer Agreements
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FDIC Finalizes Amendments to Annual Independent Audit and Reporting Requirements
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Basel Committee Issues Guidance on Expected Losses; Home-Host Issues
