Advertising Regulation-Related Notices
Account Statements: 08-77
Auction Rate Securities: 08-21
Bond Mutual Fund Volatility/Risk Rating: 00-23, 01-58, 03-48, 06-05
Books and Records: 96-82, 98-11, 03-33, 05-27, 06-45, 08-12, 08-28, 08-73, 10-06, 11-39, 17-18
Branch Offices: 02-52, 05-66, 05-67, 06-12, 14-11
Brokerage: 13-23
BrokerCheck Link: 14-19, 15-50
Capital Acquisition Broker Rules: 16-37, 17-14
Capital Formation: 17-14
Cash Alternatives: 08-82
Certificates of Deposit: 02-28, 02-69
Commodity-Linked Futures: 10-51, 20-14
Communications with the Public: 01-45, 03-38, 09-34, 09-50, 09-55, 12-29, 13-03, 13-45, 14-14, 14-19, 14-30, 15-16, 15-17, 16-41, 17-06, 19-31, 20-21
Complex Products: 12-03
Consolidated Reports: 10-19
Correspondence: 96-82, 98-11, 99-03, 06-45, 12-29, 98-83
Crowdfunding: 13-34, 16-07, 17-14
Customer Accounts Statements: 14-35
Direct Participation Programs: 08-35, 11-44, 12-14, 13-18, 15-02
DOL: 12-02
Electronic Communications: 96-50, 98-03, 03-33, 07-30, 07-59, 10-06, 11-39, 19-31,
Enforcement Process: 09-17
Equity Indexed Annuities: 05-50
Exchange Traded Funds: 09-31, 11-49, 20-14
Expense Ratio: 06-48
Expertise: 08-27
Fees: 12-02, 12-29, 12-32, 13-23
Filing Requirements: 05-25, 12-29, 15-16, 16-41, 19-32
FINRA Logo: 07-02, 07-47, Information Notice – 1/8/16
FINRA Membership/Name: 04-64, 07-02, 07-47, 11-49
Foreign Currency Exchange: 08-66
Free Writing Prospectus: 10-52
Futures: 14-24
Generic Communications: 15-16, 16-41, 19-31
Ghost-Writing: 08-27
High Yield Securities: 08-81
Home Equity Funded Investments: 04-89
Illiquid Investments: 08-30
Indications of Interest: 09-28
Individual Retirement Accounts (IRAs): 13-23, 13-45
Institutional Communications: 12-29
Investment Analysis Tools: 02-51, 04-86, 15-16, 16-41
JOBS Act: 16-07
Life Settlements: 09-42
Margin Risk Disclosure: 02-35, 07-14, 09-60
Municipal Fund Securities: 03-17
Municipal Securities : 10-41
Mutual Funds: 00-21, 03-48, 03-50, 04-26, 04-72, 06-05, 06-48, 08-58, 08-07
National Do-Not-Call Registry: 04-15, 05-07
Negative Response Letters: 02-57, 08-48
New Firm Communications: 12-29, 12-32, 15-16
Non-Cash Compensation: 05-40
Options: 05-03, 08-28, 08-73, 09-60, Information Notice - 01/07/11, Information Notice - 2/9/12, Information Notice - 8/26/08, Information Notice - 12/29/09, Information Notice - 6/15/10
Principal Approval: 96-82, 98-11, 03-33, 03-37, 05-27, 06-45, 07-64, 08-12, 08-28, 08-73, 10-06, 11-39, 17-18
Principal Protected Notes: 09-73
Private Placements: 05-18, 07-27, 10-22, 11-04, 12-40, 16-07, 20-21
Projections: 17-06
Questions & Answers (FAQ): 13-03, 15-17, 19-31
Real Estate Investment Trusts: 11-44, 12-14, 13-18
Regulation A Offerings: 15-32
Regulation D Offerings: 05-18, 10-22, 20-21
Reprints: 03-38
Research Reports: 02-39, 03-44, 04-18, 04-81, 05-14, 05-24, 05-34, 06-36, 07-04, 07-12, 07-64, 08-15, 08-16, 08-55, 11-11, 11-41, 12-09, 12-42, 14-30, 15-30, 15-31, 17-16, 19-32
Retirement Plans: 12-02
Reverse Convertables: 10-09
Sanction Guidelines: 99-16, 05-17, 06-10, 11-07, 11-13
Security Futures: 02-73, Information Notice - 9/7/10
Senior Investors: 07-43, 11-52
Shareholder Reports: 15-16, 16-41
SIPC: 07-29
Social Media: 96-50, 98-03, 03-33, 07-30, 07-59, 10-06, 11-39, 17-18, 19-31
Stocks: 99-11
Structured Products: 05-59, 09-73, 10-09, 12-03
Suitability: 96-60, 11-02, 11-25, 13-45
Supervision: 96-50, 96-60, 96-82, 98-11, 98-38, 03-33, 03-49, 04-71, 05-08, 05-29, 05-50, 07-12, 08-24, 09-10, 09-34, 09-50, 09-55, 10-06, 11-14, 11-39, 13-45, 14-10, 17-18
Television & Video: 03-38, 05-25
Tenants-in-Common Interests: 05-18
Treasury Inflation Protected Securities (TIPS): 11-49
Variable Products: 96-86, 97-27, 99-35, 00-44, 04-45, 06-38, 07-53, 08-39, 09-32, 10-05