Guidance

Notice
Regulatory Notice 14-16
April 11, 2014
Guidance
Regulatory Notice 14-13
March 25, 2014
Guidance
Regulatory Notice 14-12
March 24, 2014
Guidance
Regulatory Notice 14-06
February 07, 2014
Exemptive Letter
Venu Palaparthi, NPM Securities LLC
January 07, 2014
Annual Regulatory and Examination Priorities Letters
2014 Regulatory and Examination Priorities Letter
January 02, 2014
Guidance
Targeted Examination Letter on Cybersecurity
January 01, 2014
Guidance
Regulatory Notice 13-45
December 30, 2013
Guidance
Regulatory Notice 13-41
December 19, 2013
Guidance
Regulatory Notice 13-38
November 01, 2013
Guidance
Regulatory Notice 13-36
October 31, 2013
Guidance
Regulatory Notice 13-33
October 18, 2013
Report / Study
Conflict of Interest Report
October 14, 2013
Guidance
Regulatory Notice 13-31
September 25, 2013
Guidance
Regulatory Notice 13-28
August 28, 2013
Interpretive Letter
Interpretive Letter to Brian Sweeney, Trustmont Financial Group, Inc.
August 26, 2013
Guidance
Regulatory Notice 13-26
August 19, 2013
Guidance
Regulatory Notice 13-25
August 16, 2013
Guidance
Regulatory Notice 13-24
July 22, 2013
Targeted Examination Letter
Targeted Examination Letter on High Frequency Trading
July 01, 2013
Guidance
Regulatory Notice 13-22
June 28, 2013
Guidance
Regulatory Notice 13-20
May 28, 2013
Guidance
Regulatory Notice 13-18
May 02, 2013
Targeted Examination Letter
Targeted Exam Letter on Alternative Trading Systems
May 01, 2013
Interpretive Letter
Interpretive Letter to Bradley J. Swenson, ALPS Distributors, Inc.
April 22, 2013