Guidance

Regulatory and Compliance Alerts (RCA)
Regulatory & Compliance Alert - Winter 2000
December 01, 2000
Interpretive Letter
Interpretive Letter to Angela Coronado, Brecek & Young Advisors, Inc.
November 27, 2000
Interpretive Letter
Interpretive Letter to Ms. Joanne Ferrari, Weeden & Co., L.P.
November 01, 2000
Interpretive Letter
Interpretive Letter to Mr. Alan E. Sorcher, Securities Industry Association & Ms. Sarah A. Miller, ABA Securities Association
October 27, 2000
Interpretive Letter
Interpretive Letter to Justine Rusin, Merit Capital Associates, Inc. (Use of Negative Response Letters)
October 16, 2000
Guidance
Interpretive Letter to Eric A. Arnold, Esq., Sutherland Asbill & Brennan LLP
October 12, 2000
Exemptive Letter
Name Not Public
October 10, 2000
Interpretive Letter
Interpretive Letter to Janna R. Severance, Esq., Moss & Barnett
October 02, 2000
Interpretive Letter
Interpretive Letter to Allan H. Pessin, Securities Compliance Consultants Inc.
October 02, 2000
Interpretive Letter
Interpretive Letter to Leslie U. Harris, East/West Securities Co.
September 28, 2000
Interpretive Letter
Interpretive Letter to Kathleen A. Wieland, William Blair & Company
September 27, 2000
Regulatory and Compliance Alerts (RCA)
Regulatory & Compliance Alert - Fall 2000
September 01, 2000
Exemptive Letter
Exemptive Letter regarding Rule 2710, Issued by the Corporate Financing Department
August 31, 2000
Interpretive Letter
Interpretive Letter to Thomas E. Hellings, Securities America, Inc.
August 31, 2000
Interpretive Letter
Interpretive Letter to Ms. M. LaRae Bakerink, Pacific American Securities, LLC
August 14, 2000
Interpretive Letter
Interpretive Letter to Mr. Edward Balsmann, Morgan Keegan & Company, Inc.
August 14, 2000
Interpretive Letter
Interpretive Letter to David M. Rappaport, Esq., INVESTACORP Inc.
August 11, 2000
Exemptive Letter
Exemptive Letter regarding Rule 2710, Issued by the Corporate Financing Department
August 11, 2000
Interpretive Letter
Interpretive Letter to Alan Feldstein, Esq., Development Corporation for Israel
August 04, 2000
Interpretive Letter
Interpretive Letter to Fiona Kaufman, Esq., SVB Securities, Inc.
July 24, 2000
Interpretive Letter
Interpretive Letter to Joanne Ferrari, Weeden & Co., L.P.
July 19, 2000
Interpretive Letter
Interpretive Letter to Stephen M. Vine, Esq., Akin, Gump, Strauss, Hauer & Feld, L.L.P.
July 19, 2000
Interpretive Letter
Interpretive Letter to Kathleen A. Wieland, William Blair & Company, L.L.C.
July 05, 2000
Exemptive Letter
Name Not Public
June 30, 2000
Interpretive Letter
Interpretive Letter to Robinson Markel, Esq., Rosenman & Colin, LLP
June 20, 2000