2007 Advertising-Related News Releases

11/12/07   FINRA Expands Investor Education Outreach with Integrated, Multimedia Advertising Campaign Aimed at Baby Boomers
11/6/07   FINRA Publishes Guidance, Text for New Rule Governing Deferred Variable Annuity Transactions
10/23/07   FINRA Investor Education Foundation Funds Research to Improve Disclosure of Financial Product Information
10/23/07   FINRA Investor Education Foundation Funds Education Program for Older Investors with Securities Disputes
10/23/07   FINRA Investor Education Foundation Funds Research Examining How Disclosures Can Help Investors Understand Risk and Minimize Fees
10/23/07   FINRA Investor Education Foundation Funds Research on Financial Risk of Longevity in Retirement
9/10/07   FINRA Announces Major Regulatory Sweeps at Senior Summit
7/11/07   In First Case of Its Kind, NASD Charges Former Securities America Broker with Misleading Union Retirement Plans About Receipt of More Than $280,000 in Improper Directed Brokerage Commissions, Other Payments
6/27/07   NASD Fines Wells Fargo Securities $250,000 for Failing to Disclose Analyst's Employment with Covered Company in Research Report
6/6/07   Citigroup Global Markets to Pay Over $15 Million to Settle Charges Relating to Misleading Documents and Inadequate Disclosure in Retirement Seminars, Meetings for BellSouth Employees
5/8/07   NASD, State Regulators Issue Joint Statement to Support Insurance Regulators' Model Annuity Suitability Regulation
5/8/07   NASD Fines Two Fidelity Broker Dealers $400,000 for Distributing Misleading Sales Literature About Systematic Investment Plans Sold to Military Personnel
4/23/07   Touting "China" Stocks Latest "Pump and Dump" Scheme, NASD Alert Says
4/16/07   NASD Alert Advises Investors to Consider Global Market Risk When Investing
2/21/07   NASD Fines Raymond James Financial Services, Inc. $2.75 Million for Lax Supervision of Producing Branch Managers
2/8/07   NASD Investor Alert Cautions Investors About Life Settlements
2/5/07   NASD Fines Four Fidelity-Affiliated Broker-Dealers $3.75 Million for Registration, Supervision and Email Retention Violations