Guidance

Exemptive Letter
Noel M. Gruber, Esq.
October 18, 2005
Exemptive Letter
Name Not Public
October 11, 2005
Exemptive Letter
Name Not Public
October 11, 2005
Exemptive Letter
Name Not Public
September 22, 2005
Exemptive Letter
Name Not Public
September 20, 2005
Notice
Notice to Members 05-59
September 12, 2005
Guidance
Improving Examination Results - September 2005
September 01, 2005
Exemptive Letter
Name Not Public
May 25, 2005
Report / Study
Report of the Mutual Fund Task Force: Mutual Fund Distribution
March 29, 2005
Interpretive Letter
Interpretive Letter to Tamara K. Salmon, Investment Company Institute
March 16, 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 George T. Simon, Foley & Lardner, LLP
January 26, 2005
Exemptive Letter
Dana G. Fleischman, Esq., Cleary, Gottlieb, Steen & Hamilton
December 03, 2004
Interpretive Letter
Interpretive Letter to Therese Squillacote, ING Financial Advisers, LLC
November 29, 2004
Report / Study
Report of the Mutual Fund Task Force: Soft Dollars and Portfolio Transaction Costs
November 11, 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
Exemptive Letter
Name Not Public
October 27, 2004
Interpretive Letter
Interpretive Letter to Barry Harris, Banc of America Investment Services, Inc. (Use of Negative Response Letters)
October 20, 2004
Report / Study
Report of the Corporate Debt Market Panel
September 30, 2004
Interpretive Letter
Interpretive Letter to Budge Collins, Collins/Bay Island Securities
September 14, 2004
Exemptive Letter
Name Not Public
August 23, 2004
Interpretive Letter
Interpretive Letter to Mark W. Riepe, Charles Schwab & Co., Inc.
August 20, 2004
Interpretive Letter
Interpretive Letter to Mr. Alan E. Sorcher, Securities Industry Association & Ms. Sarah A. Miller, ABA Securities Association
August 05, 2004