Guidance

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
Report / Study
Joint SEC/NASD Report on Examination Findings Regarding Broker-Dealer Sales of Variable Insurance Products
June 09, 2004
Exemptive Letter
Marianne McKeon, Dewey Ballantine LLP
June 04, 2004
Interpretive Letter
Interpretive Letter to Dana G. Fleischman
June 01, 2004
Guidance
Improving Examination Results - April 2004
April 01, 2004
Guidance
Improving Examination Results - April 2004
April 01, 2004
Interpretive Letter
Interpretive Letter to Tom Fleming, Dealogic
February 17, 2004
Interpretive Letter
Interpretive Letter to Martin H. Kaplan, Esq., Gusrae, Kaplan & Bruno, PLLC
February 04, 2004
Report / Study
Report of the Omnibus Account Task Force
January 30, 2004
Guidance
Russell D. Sacks, Shearman & Sterling LLP
January 15, 2004
Interpretive Letter
Interpretive Letter to Yukako Kawata, Davis Polk & Wardwell
December 30, 2003
Interpretive Letter
Interpretive Letter to Dana Fleischman, Esq., Cleary, Gottlieb, Steen & Hamilton
November 24, 2003
Exemptive Letter
Name Not Public
November 11, 2003
Interpretive Letter
Interpretive Letter to Harold L. Gladney
November 07, 2003