- SEC Issues Release Proposing Confirmation and Point of Sale Disclosure Requirements for Mutual Fund, UIT and 529 Plan Sales
- Basel Committee Issues Technical Papers on Calculation of Cross-Border Operational Risk, Securitizations, and the Treatment of Expected and Unexpected Losses
- FDIC Issues Rule Clarifying Insurance Coverage for Living Trust Accounts
- OCC Rules UPS Drop Boxes Do Not Constitute Branches
- Registered Adviser Trade Group Indicates It Will Draft Model Code of Ethics