Guidance

Exemptive Letter
Name Not Public
August 30, 2006
Interpretive Letter
NASD Office of General Counsel, Regulatory Policy and Oversight
August 15, 2006
Guidance
Memorandum to Address NASD Rules on Secondary Trading in Shares of Exchange-Traded Funds Registered Under the Investment Company Act of 1940
August 14, 2006
Interpretive Letter
Interpretive Letter to Eileen Ryan, Esq., Securities Industry Association, and Sarah Starkweather, Esq., The Bond Market Association
August 01, 2006
Interpretive Letter
Interpretive Letter to Michael R. Trocchio, Esq., Bingham McCutchen LLP
June 02, 2006
Annual Regulatory and Examination Priorities Letters
2006 Regulatory and Examination Priorities Letter
May 17, 2006
Exemptive Letter
Name Not Public
May 17, 2006
Report / Study
Report of the Customer Account Transfer Task Force
May 14, 2006
Guidance
Improving Examination Results - May 2006
May 01, 2006
Exemptive Letter
Name Not Public
February 23, 2006
Exemptive Letter
Bruce E. Lee, Esq.
February 03, 2006
Interpretive Letter
Interpretive Letter to Mr. Alan E. Sorcher, Securities Industry Association & Ms. Sarah A. Miller, ABA Securities Association
December 12, 2005
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