Guidance

Exemptive Letter
Edward A. Kwalwasser, Proskauer Rose LLP
December 07, 2010
Guidance
Regulatory Notice 10-56
October 29, 2010
Guidance
Regulatory Notice 10-53
October 26, 2010
Notice
Regulatory Notice 10-52
October 21, 2010
Notice
Regulatory Notice 10-51
October 20, 2010
Guidance
Register Notice 10-50
October 15, 2010
Guidance
Regulatory Notice 10-46
October 04, 2010
Guidance
Targeted Examination Letter on Placement Agents
October 01, 2010
Guidance
Regulatory Notice 10-44
September 22, 2010
Guidance
Regulatory Notice 10-41
September 20, 2010
Notice
Regulatory Notice 10-39
September 08, 2010
Exemptive Letter
Name Not Public
September 07, 2010
Targeted Examination Letter
Targeted Examination Letter on Direct Market Access, Naked Access, Electronic Access or Sponsored Access ("DMA")
August 01, 2010
Interpretive Letter
Interpretive Letter to Michael Brennan
July 29, 2010
Notice
Regulatory Notice 10-31
June 18, 2010
Exemptive Letter
Name Not Public
June 10, 2010
Guidance
Regulatory Notice 10-28
June 09, 2010
Interpretive Letter
Interpretive Letter to Merrie Faye Witkin, The Depository Trust & Clearing Corporation
June 09, 2010
Notice
Regulatory Notice 10-27
June 09, 2010
Interpretive Letter
Interpretive Letter to Claudia Crowley, NYSE Regulation, Inc.
May 21, 2010
Notice
Regulatory Notice 10-22
April 20, 2010
Guidance
Regulatory Notice 10-20
April 15, 2010
Guidance
Regulatory Notice 10-19
April 08, 2010
Guidance
Regulatory Notice 10-18
April 06, 2010
Interpretive Letter
Interpretive Letter to William D. Edick, Pickard and Djinis LLP
March 26, 2010