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REVISIONS TO THE ELIGIBILITY REQUIREMENTS FOR PRIMARY SECURITIES OFFERINGS ON FORMS S-3 AND F-3

CPO/CTA Rules & Regulatory Actions

June 20 2007

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

CPO/CTA Rules & Regulatory Actions

November 16 2006

Joint Proposed Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities...

BD Rules & Regulatory Actions

March 29 2006

COMMODITY FUTURES TRADING COMMISSION17 CFR PART 241RIN 3038 AB86SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-53560; File No. S7-07-06]RIN 3235-AJ54Joint Proposed Rules: Application of ...

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