- FRB Rules BHCs may Engage in Commodity Purchase and Forward Sale Financing Transactions
- SEC Publishes For Comment Proposed NASD Variable Annuity Suitability Rule
- FDIC Publishes Article on Operational Risk Management
- The SPARK Institute Updates Model Rule 22c-2 Contract Language and Issues Best Practices for Monitoring Frequent Trading
- NASD Makes Available Webcasts on Examination Preparation and Breakpoints
- SEC Publishes Request for Information Preparatory to Study of Impact of Broker-Dealer and Investment Adviser Regimes on Individual Investors
- SEC Slated to Act on Soft Dollar Interpretive Release at July 12 Open Meeting
- Independent Directors Council Issues Report on Board Consideration of Fund Mergers