Guidance

Notice
Regulatory Notice 07-59
December 07, 2007
Guidance
Regulatory Notice 07-56
November 19, 2007
Notice
Regulatory Notice 07-55
November 14, 2007
Notice
Regulatory Notice 07-49
October 25, 2007
Interpretive Letter
Interpretive Letter to Dan Danborn, Society of Certified Senior Advisors
September 28, 2007
Notice
Regulatory Notice 07-44
September 12, 2007
Report / Study
Protecting Senior Investors: Report of Examination of Securities Firms Providing "Free Lunch" Sales Seminars
September 10, 2007
Guidance
Regulatory Notice 07-43
September 10, 2007
Notice
Regulatory Notice 07-41
September 06, 2007
Interpretive Letter
Interpretive Letter to Tamara K. Salmon, Investment Company Institute
September 06, 2007
Notice
Regulatory Notice 07-39
August 30, 2007
Notice
Regulatory Notice 07-35
August 10, 2007
Guidance
Additional Guidance Regarding the OATS Routing Method Code of I and Special Handling Code of ISO
July 12, 2007
Exemptive Letter
Name Not Public
June 29, 2007
Guidance
Guidance Relating to "Execution Time" for Purposes of Compliance with NASD Trade Reporting Rules
June 13, 2007
Guidance
Improving Examination Results - May 2007
May 01, 2007
Exemptive Letter
Louis J. Karcher, Pipeline Trading Systems LLC
April 03, 2007
Annual Regulatory and Examination Priorities Letters
2007 Regulatory and Examination Priorities Letter
February 13, 2007
Guidance
Notice to All TRF, ADF and Other NASD Facility Participants Regarding AGU and QSR Relationships
January 25, 2007
Report / Study
NASD Report on Examination Findings Regarding Gifts and Gratuities
December 04, 2006
Interpretive Letter
Interpretive Letter to Evan Charkes, Citigroup Global Markets, Inc.
November 30, 2006
Exemptive Letter
Marianne McKeon, Esq., Dewey Ballantine LLP
November 09, 2006
Exemptive Letter
Name Not Public
October 16, 2006
Interpretive Letter
Interpretive Letter to Alan M. Wolper, Esq., Sutherland Asbill & Brennan LLP
October 06, 2006
Guidance
Interpretive Letter to Steven K. McGinnis, Loring Ward Securities, Inc.
September 28, 2006