- SEC Allows Alternative Net Capital Computations for Broker-Dealers That are Part of Consolidated Supervised Entities
- SEC Adopts Enhanced Disclosure of Sales Load Breakpoint Discounts by Mutual Funds
- Federal Banking Agencies Propose Rule on Proper Disposal of Consumer Information under the FACT Act
- Association for Financial Professionals Reports that its Credit Access Survey of Corporate Borrowers Reveals Presence of Tying Concerns
- FTC Confirms Ability to Process Non-Public Customer Information Outside the US