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What's New About Us Practice Areas Memoranda Agencies Privacy FACT Act Money Laundering Legislation Court Cases Links Sitemap Search Contact Us Home |
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SEC Proposal on Unauthorized
Disclosures of Customer Information Federal Register Notice |
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SEC/FRB Proposed Rule on
Securities Activities Memorandum (12-14-06) Federal Register Notice |
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FACT Act: SEC Final Rule on
Disposal of Consumer Information and Records Memorandum (12-21-05) Federal Register Notice |
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Interagency Statement on Sound
Practices Concerning Complex Structured Finance Activities Memorandum (5-17-04) Federal Register Notice |
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SEC's
Final Rule on Management's Report on Internal Control
Over Financial Reporting Memorandum (6-19-03) Federal Register Notice |
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Final
USA Patriot Act Rules on Customer Identification for
Mutual Funds Federal Register (May 2003) |
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Interagency Policy Statement on
the Internal Audit Function and Its Outsourcing Memorandum (3-27-03) Policy Statement (3-17-03) |
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SEC's
Final Rule on Standards of Professional
Conduct for Attorneys
Memorandum (2-7-03) Final Rule - Federal Register Notice |
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Final Agency Rules Implementing the Privacy Provisions of the Gramm-Leach-Bliley Act (6-29-00) |
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FED/SEC Adopts Regulation R,
Excep-tions from Definition of Broker for Banks Memorandum (9-20-07) Federal Register Notice |
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Agencies' Report on Financial
Privacy Notices Memorandum (4-3-06) Financial Privacy Report |
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SEC's Notice of Proposed
Rulemaking on Affiliate Marketing Memorandum (7-9-04) Federal Register Notice |
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SEC's
Final Rule on Improper Influence on Conduct of Audits Memorandum (5-29-03) Federal Register Notice |
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Final USA Patriot Act Rules on Customer Identification for
Broker-Dealers Federal Register (May 2003) |
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SEC's
Final Rule on Audit Committee Standards Memorandum (4-18-03) Federal Register Notice |
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SEC Final Rule:
Exceptions for Banks as Dealers and Brokers
Memorandum (2-28-03) Federal Register Notice |
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Sarbanes - Oxley Act of 2002 Memorandum (7-26-02) Text of Act (P.L.107-204) |
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SEC's
Final Rule on Disclosures under the Sarbanes-Oxley Act of 2002
Federal Register Notice |
| Updated: 3/24/2008 |