• Agency Lending Disclosure
• Anti-Money Laundering Compliance
• Business Continuity Planning
• Conflicts of Interest
• Connecticut Lawsuit
• Diversity
• E-Mail & Electronic Records
• FOCUS Reports
• Gramm-Leach-Bliley
• Hedge Funds
• Market Structure - Regulation NMS
• Mutual Fund Breakpoints
• Mutual Fund - Late Trading
• Mutual Fund Redemption Fees - Rule 22c-2
• Options Markets
• Order Disclosure
• Outsourcing
• Privacy
• Regulatory Coordination - SRO Reform
  NASD / NYSE Merger Resource Center
• Research Analyst Integrity
• Section 31 Fees
• Short Sale Regulation - Reg SHO
• Stock Transfer Tax
• STP
• Utah Lawsuit

OTHER SIA INITIATIVES ...............

• Anti-Spam Legislation
• Automated Recall Management System (ARMS)
• Bank Account Administration
• Corporate Governance & Research Presentations
• Electronic Blue Sheet Submissions
• Electronic Signatures
• H.R. 1375 - Financial Services Regulatory
  Relief Act of 2003
• Issue Bulletins

  IPO Primer
  Accounting Reform Bill
  Securities Regulation

• Market Data
• NASD Alternative Display Facility
• NASDAQ Exchange Application
• NYSE Hybrid Market Proposal
• Options Symbology Initiative
• Proxy Processing Suggested Guidelines
• Securities Act of 1933 Reform
• Securities Litigation Reform

• Mutual Fund Legislation
• 1099 Due Date
• Global Dealing
• R & E Tax Credit
• Section 475
• Section 482
• Single Stock Futures
• Straddle Issues
• US-Japan Tax Treaty

Tax

• Dividends
• International Tax Bill
• Subpart F Reforms
• Earnings Stripping
• Tax Shelters
• Settlement Deductibility
• Convertible Debt

Savings and Retirement

• LSA, RSA, ERSA
• EGTRRA
• Investment Advice
• Pension Reform
• Social Security
• Regulatory Matters
• Education Plans

Securities

• Role of Auditors
• CFTC Reauthorization
• Derivatives
• Bankruptcy
• Soft Dollars
• Mutual Funds

Financial Services

• Breach of Data Security
• Branching
• Interest on Checking
• Fast-Growth Fees
• Fair Credit Reporting

International

• Basel II
• Capital Markets Sanctions
• China Access
• EU Capital Markets
• Financial Architecture
• Global Security Risk
• Trade & Investment
• WTO

State Issues

• Transfer on Death
• Stock Transfer Tax
• Do Not Call Registry
• 529 Plans