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Securities and Exchange Commission (SEC)

	SEC Reopens GLB Act Model Privacy Form Quantitative Test Information     Memorandum (4-15-09)     Federal Register Notice     Study I     Study II
	SEC Proposal on Unauthorized Disclosures of Customer Information     Federal Register Notice
	FED/SEC Adopts Regulation R, Excep-tions  from Definition of Broker for Banks     Memorandum (9-20-07)     Federal Register Notice
	Agencies' Report on Financial Privacy Notices     Memorandum (4-3-06)     Financial Privacy Report
	SEC's Notice of Proposed Rulemaking on Affiliate Marketing    Memorandum (7-9-04)    Federal Register Notice
	SEC's Final Rule on Management's Report on Internal Control Over Financial Reporting    Memorandum (6-19-03)    Federal Register Notice
	Final USA Patriot Act Rules on Customer Identification for Broker-Dealers      Federal Register (May 2003)
	SEC's Final Rule on Audit Committee Standards    Memorandum (4-18-03)    Federal Register Notice
	SEC Final Rule:  Exceptions for Banks as Dealers and Brokers    Memorandum (2-28-03)    Federal Register Notice
	Sarbanes - Oxley Act of 2002    Memorandum (7-26-02)    Text of Act (P.L.107-204)
	Final Agency Rules Implementing the Privacy Provisions of the Gramm-Leach-Bliley Act  (6-29-00)

	SEC Final Rules and Proposals Regarding Rating Agencies     Memorandum (2-9-09)     SEC Final Rules     SEC Proposal
	Federal Reserve and SEC Memorandum of Understanding     Memorandum (7-8-08)     MOU
	SEC/FRB Proposed Rule on Securities Activities     Memorandum (12-14-06)     Federal Register Notice
	FACT Act: SEC Final Rule on Disposal of Consumer Information and Records      Memorandum (12-21-05)      Federal Register Notice
	Interagency Statement on Sound Practices Concerning Complex Structured Finance Activities    Memorandum (5-17-04)    Federal Register Notice
	SEC's Final Rule on Improper Influence on Conduct of Audits    Memorandum (5-29-03)    Federal Register Notice

	Final USA Patriot Act Rules on Customer Identification for Mutual Funds    Federal Register (May 2003)
	Interagency Policy Statement on the Internal Audit Function and Its Outsourcing    Memorandum (3-27-03)    Policy Statement (3-17-03)
	SEC's Final Rule on Standards of Professional Conduct for Attorneys    Memorandum (2-7-03)    Final Rule - Federal Register Notice
	SEC's Final Rule on Disclosures under the Sarbanes-Oxley Act of 2002    Federal Register Notice

 

Updated: 4/20/2009