Guidance

Notice
Regulatory Notice 13-17
April 18, 2013
Guidance
Regulatory Notice 13-16
April 17, 2013
Guidance
Regulatory Notice 13-14
April 12, 2013
Interpretive Letter
Interpretive Letter to Amy Natterson Kroll, Bingham McCutchen LLP
February 08, 2013
Interpretive Letter
Interpretive Letter to S. Kendrick Dunn, Pacific Select Distributors, Inc.
February 05, 2013
Annual Regulatory and Examination Priorities Letters
2013 Regulatory and Examination Priorities Letter
January 11, 2013
FAQ
Regulatory Notice 12-58
December 27, 2012
Interpretive Letter
Interpretive Letter to Ira Hammerman, The Securities Industry and Financial Markets Association
December 21, 2012
Guidance
Regulatory Notice 12-55
December 10, 2012
Guidance
Regulatory Notice 12-54
December 07, 2012
Notice
Regulatory Notice 12-53
December 03, 2012
Interpretive Letter
Interpretive Letter to Name Not Public
November 27, 2012
Exemptive Letter
Christopher M. Wells, Proskauer Rose LLP
November 02, 2012
Targeted Examination Letter
Targeted Examination Letter on Business Continuity Plans
November 01, 2012
Guidance
Regulatory Notice 12-47
October 31, 2012
Guidance
Regulatory Notice 12-45
October 30, 2012
Notice
Regulatory Notice 12-43
October 19, 2012
Guidance
Targeted Examination Letter on Order Protection Disclosure Practices
October 01, 2012
Targeted Examination Letter
Targeted Examination Letter on Alternative Trading Systems
September 01, 2012
Guidance
Regulatory Notice 12-36
July 18, 2012
Targeted Examination Letter
Targeted Examination Letter on Conflicts of Interest
July 01, 2012
Guidance
Regulatory Notice 12-25
May 18, 2012
Guidance
Regulatory Notice 12-24
May 15, 2012
Notice
Regulatory Notice 12-20
April 13, 2012
Exemptive Letter
Michael R. Modeski, OTC Link LLC
March 01, 2012