- Executive Compensation Telephone Interpretations
- Nasdaq Amends Sponsored Access Rule
- NASD Proposes to Change Application of Rule 2790
- Investment Adviser Deregistration Grace Period
  Expires Feb. 1
- SEC Extends Regulation NMS Compliance Dates
- FSA Announces Financial Crime and Intelligence
- Treasury Consultation on Draft Money Laundering
- W Deb MVL Plc Fined for Systems and Controls
- Securities Fraud Class Action Complaint Dismissed
- Summary Judgment Granted on Securities Law Claims    
- Final Rule Adopted Requiring All FCMs to Become
  NFA Members