- GAO Issues Report on Enhancements to SEC Examination Program
- SEC Settles Administrative Proceedings with Pension Consultant and its Chief Compliance Officer over Code of Ethics and Compliance Program Shortcomings
- SEC Permits Banks to Engage in Certain Reg S and Conduit Lending Transactions Without Being Deemed a "Dealer"
- District Court Rejects Application of Preemption of State Mortgage Laws to Independent Agents of Federal Thrifts
- GAO Issues Report Addressing Limitations in SEC Enforcement Division’s Operations
Alert October 09, 2007