Guidance

Notice
Regulatory Notice 08-58
October 17, 2008
Guidance
NASD Review of Hedge Fund Advertising Results in Formal Action
August 12, 2008
Interpretive Letter
FINRA Office of General Counsel (Auction Rate Securities)
July 09, 2008
Notice
Regulatory Notice 08-30
June 12, 2008
Notice
Regulatory Notice 08-27
May 20, 2008
Notice
Regulatory Notice 08-21
April 30, 2008
Notice
Regulatory Notice 07-59
December 07, 2007
Interpretive Letter
Interpretive Letter to Dan Danborn, Society of Certified Senior Advisors
September 28, 2007
Guidance
Regulatory Notice 07-43
September 10, 2007
Interpretive Letter
Interpretive Letter to Tamara K. Salmon, Investment Company Institute
September 06, 2007
Interpretive Letter
NASD Office of General Counsel, Regulatory Policy and Oversight
August 15, 2006
Interpretive Letter
Interpretive Letter to Eileen Ryan, Esq., Securities Industry Association, and Sarah Starkweather, Esq., The Bond Market Association
August 01, 2006
Interpretive Letter
Interpretive Letter to Michael R. Trocchio, Esq., Bingham McCutchen LLP
June 02, 2006
Notice
Notice to Members 05-59
September 12, 2005
Notice
Notice to Members 05-17
March 01, 2005
Interpretive Letter
Interpretive Letter to Michael R. Trocchio, Esq., Bingham McCutchen LLP
February 03, 2005
Interpretive Letter
Interpretive Letter to Therese Squillacote, ING Financial Advisers, LLC
November 29, 2004
Interpretive Letter
Interpretive Letter to Michael R. Trocchio, Esq., Bingham McCutchen LLP
November 10, 2004
Interpretive Letter
NASD Office of General Counsel, Regulatory Policy and Oversight
November 08, 2004
Interpretive Letter
Interpretive Letter to Barry Harris, Banc of America Investment Services, Inc. (Use of Negative Response Letters)
October 20, 2004
Interpretive Letter
Interpretive Letter to Budge Collins, Collins/Bay Island Securities
September 14, 2004
Interpretive Letter
Interpretive Letter to Mark W. Riepe, Charles Schwab & Co., Inc.
August 20, 2004
Interpretive Letter
Interpretive Letter to Yukako Kawata, Davis Polk & Wardwell
December 30, 2003
Interpretive Letter
Interpretive Letter to Michael D. Udoff, Securities Industry Association
October 02, 2003
Interpretive Letter
Interpretive Letter to Robert C. Hacker, Esq., Kirkpatrick & Lockhart, LLP
May 29, 2003