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Amendments to Financial Responsibility Rules for Broker-Dealers

BD Rules & Regulatory Actions

March 9 2007

Proposed Rule Changes of Self-Regulatory Organizations

BD Rules & Regulatory Actions

February 23 2007

UNIVERSAL INTERNET AVAILABILITY OF PROXY MATERIALS

BD Rules & Regulatory Actions

January 22 2007

TERMINATION OF A FOREIGN PRIVATE ISSUER’S REGISTRATION OF A CLASS OF SECURITIES UNDER SECTION...

BD Rules & Regulatory Actions

December 22 2006

Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and...

BD Rules & Regulatory Actions

December 18 2006

DEFINITIONS OF TERMS AND EXEMPTIONS RELATING TO THE “BROKER” EXCEPTIONS FOR BANKS

BD Rules & Regulatory Actions

December 18 2006

Amendments to Regulation SHO and Rule 10a-1

BD Rules & Regulatory Actions

December 7 2006

COVERED SECURITIES PURSUANT TO SECTION 18 OF THE SECURITIES ACT OF 1933

PF Rules & Regulatory Actions

November 16 2006

Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-3 Millennium Partners, L.P.,...

IA Rules & Regulatory Actions

March 9 2006

Millennium Partners, L.P., et al: No-Action letter dated March 9, 2006 Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-3 Millennium Partners, L.P., ...

EXECUTIVE COMPENSATION AND RELATED PARTY DISCLOSURE

PF Rules & Regulatory Actions

January 27 2006

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