Guidance

Interpretive Letter
Interpretive Letter to Jonathan K. Lagemann, Esq., Law Offices of Jonathan Kord Lagemann
June 27, 2001
Guidance
Interpretive Letter to Philip J. Fina, Esq., Kirkpatrick & Lockhart LLP
June 18, 2001
Interpretive Letter
Interpretive Letter to Newton B. Schott, Jr., PIMCO Funds
June 06, 2001
Interpretive Letter
Interpretive Letter to Lena M. Stinson, Stanford Group Company
June 04, 2001
Regulatory and Compliance Alerts (RCA)
Regulatory & Compliance Alert - Summer 2001
June 01, 2001
Interpretive Letter
Interpretive Letter to Name Not Public
May 25, 2001
Interpretive Letter
Interpretive Letter to Name Not Public
May 25, 2001
Exemptive Letter
John W. Marcus, PIBC Securities LLC
May 16, 2001
Interpretive Letter
Interpretive Letter to Charles Freund, Brown Brothers Harriman
May 15, 2001
Interpretive Letter
Interpretive Letter to Name Not Public
April 27, 2001
Interpretive Letter
Interpretive Letter to Thomas W. Hands, TradePortal Securities, Inc.
April 19, 2001
Interpretive Letter
Interpretive Letter to Klia Ververidis, Esq., AssetStream Corporation
March 18, 2001
Guidance
Interpretive Letter to Charles Wiegert, NFP Securities
March 15, 2001
Interpretive Letter
Interpretive Letter to Jay Adams Knight, Esq., Musick, Peeler & Garrett LLP
March 08, 2001
Guidance
Interpretive Letter to Name Not Public
March 07, 2001
Guidance
Interpretive Letter to Name Not Public
March 07, 2001
Regulatory and Compliance Alerts (RCA)
Regulatory & Compliance Alert - Spring 2001
March 01, 2001
Interpretive Letter
Interpretive Letter to George W. Mann, Jr., Boston Stock Exchange
February 13, 2001
Interpretive Letter
Interpretive Letter to Dennis Roth, Chesapeake Securities Research Corporation
January 29, 2001
Interpretive Letter
Interpretive Letter to Isaac Schlesinger, Bishop, Rosen & Co., Inc.
January 23, 2001
Interpretive Letter
Interpretive Letter to Richard Bennett, Signal Securities, Inc.
January 19, 2001
Interpretive Letter
Interpretive Letter to Stuart M. Strauss, Esq., Mayer, Brown & Platt
January 16, 2001
Interpretive Letter
Interpretive Letter to Barbara A. Mallon, Esq., Mallon & Johnson, P.C.
December 22, 2000
Exemptive Letter
Name Not Public
December 18, 2000
Interpretive Letter
Interpretive Letter to Brian C. Sullivan, LaBranche & Co.
December 11, 2000