- FinCEN Issues Patriot Act Rule Mandating Enhanced Due Diligence for Certain Correspondent Bank Accounts
- GAO Issues Report on Issues Relating to Firms that Advise Institutional Investors on Proxy Voting
- FRB Determines Non-Control in Private Equity Arrangements
- Federal Banking Agencies Propose Illustrations for Subprime ARMs
- ICI Publishes White Paper on Role of Chief Risk Officers
- SEC Finalizes Amended Rules on Short Sale Delivery Requirements under Regulation SHO
- NASD Amends Rule 3013 and Interpretive Material 3013 to Permit Members to Designate Co-Chief Executive Officers and Multiple Chief Compliance Officers