- FinCEN Issues Final Rule Regarding Mutual Fund Reporting of Suspicious Transactions
- NYSE Issues Guidance on Compliance Reporting Lines
- NASD and NYSE Issue Joint Guidance Regarding the Solicitation of Substantial Charitable Contributions by Employees or Agents of Certain Customers
- SEC Publishes Semiannual Regulatory Agenda
- U.S. Senate Banking Committee Approves Regulatory Relief Legislation
- Goodwin Procter to Co-Host Compliance Seminar; Host Pre-conference Cocktail Party