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September 2006

06-48 SEC Approves Amendments to NASD Rules 2210 and 2211 to Require Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material; This Notice has been updated to correct the rule reference at the top of page 4 to 2210(d)(3)(B). Effective Date: April 1, 2007 Posted on: 9/1/2006

August 2006

06-45 SEC Approves Amendments to NASD Rule 2211 to Require Principal Pre-Use Approval of Certain Member Correspondence Sent to 25 or More Existing Retail Customers within a 30 Calendar-Day Period; Effective Date: December 1, 2006 Posted on: 8/24/2006

06-38 Member Obligations with Respect to the Sale of Existing Variable Life Insurance Policies to Third Parties Posted on: 8/9/2006

July 2006

06-36 NASD and NYSE Joint Interpretive Guidance on Fixed Income Research Posted on: 7/31/2006

March 2006

06-12 Extension of Effective Date of NASD Uniform Branch Office Definition and Certain Form BR and Form U4 Filing Requirements from May 1, 2006 to July 3, 2006 Joint Interpretive Guidance from NASD and the NYSE Relating to Uniform Branch Office Definition Under NASD Rule 3010(g)(2) and NYSE Rule 342.10 Effective Date of Uniform Definition: NASD: July 3, 2006; NYSE: September 9, 2005 Posted on: 3/22/2006

06-10 NASD Revises Sanction Guidelines; Effective Date: March 31, 2006 Posted on: 3/7/2006

January 2006

06-05 SEC Approves Permanent Rules Concerning Bond Mutual Fund Volatility Ratings; Effective Date: December 27, 2005 Posted on: 1/20/2006