Regulation: Links of Interest

SEC Proposed Rule and Form Amendments, Release No. IA-2711; 34-57419; File No. S7-10-00. March 3, 2008. The SEC is reproposing amendments to Part of Form ADV, and related rules under the Investment Advisers Act.

SEC Interpretive Release No. 34-54165; File No. S7-13-06. July 18, 2006. Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934. The SEC published this interpretive release with respect to the score of "brokerage and research services" and client commission arrangements under Section 28(e).

U.S. Senate Committee on Banking, Housing and Urban Affairs, March 31, 2004. Hearing. Review of Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry: Examining Soft-Dollar Practices. The eighth in a series of hearings reviewing the current investigations and regulatory actions in the mutual fund industry. Hearing Statement of Grady G. Thomas, Jr., President, The Interstate Group. Check here for Thomas PDF

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