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August 4, 2006
SEC Issues Final Soft Dollars Interpretive Release
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June 22, 2006
Amendment to the Bank Secrecy Act Regulations Requiring Mutual Funds to Report Suspicious Transactions
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June 13, 2006
Foreign Account Reporting Requirements
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June 8, 2006
SEC Issues Letter Affirming 25% control Needed to be a “Principal”
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April 10, 2006
Changes to New York Publication Law
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March 14, 2006
Proposed Amendments to Rule 22c-2
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March 7, 2006
SEC’s CCO Outreach Seminar
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March 6, 2006
Annual Compliance Reviews for Advisers
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March 1, 2006
Complying with State Gaming Regulations
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January 10, 2006
SEC Amends EDGAR Rules Concerning Mutual Fund and Separate Account Filings
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December 22, 2005
Treasury Department Guidance on Fee Deferral Programs
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October 6, 2005
Recent Proposed Regulations Affecting Deferred Compensation Plans
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September 9, 2005
IRS Regulation May Affect Structure of U.S.-based Insurance Dedicated Funds
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August 25, 2005
Amendments to QPAM Criteria
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June 28, 2005
Investment Manager’s Duty to Report Benefits Provided to Union Personnel
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