09-09; 08-35; 05-65

Proposed Amendment; 97-14

Extension Requests; 00-45; 99-102

IN 2/21/08

08-12

Expenses and Liabilities; 03-63
Funds Transfers and Transmittals; 97-13
Instant Messaging; 03-33
Inter-Dealer Quotation Systems; 00-17

Unsolicited Customer Orders; 09-51

IN 7/1/09; 08-69

08-28

07-36

Supervision; 07-36; 07-06

08-24; 07-41

Administrative Termination; 97-65
Approval; 08-64

Compliance Officers; 01-51; 99-51
Direct Registration Programs; FYI, February 1998

Fees; 08-61; 08-59; 08-19; 08-07; 04-73; 04-02; FYI, July 1999

Procedures; FYI, March 2003
Renewal of Registrations; 09-01; 08-59; 08-01; 07-48; 07-01; 06-02; 05-73; 05-01; 04-74; 04-02; 03-61; 03-01; 02-67; 02-03; 01-02; 00-72; 00-01; 99-85; 99-06; 98-84; 98-09; 97-70
Requirements; 08-55; 08-01; 07-12; 05-01; 04-25; 03-44; 99-49
Rules; 09-33; 03-37; 03-20

Series 7 (General Securities Representative Exam); 99-75; 98-16
Series 23 (General Securities Principal Sales Supervisor Module); 03-37
Series 27 (Financial and Operations Principal); 01-52
Series 28 (Introducing Broker/Dealer Financial and Operations Principal); 01-52
Series 42 (Registered Options Representatives Exam); 98-16
Series 55 (Equity Traders Exam); 00-46; 00-27; FYI, February 2000; FYI, August 1998; 98-60; 98-17; FYI, May 1997
Series 63 (Uniform Securities Agent State Law Examination); FYI, August 2000
Series 65 (Uniform Investment Adviser Law Exam); FYI, August 2000; FYI, January 2000
Series 66 (Uniform Combined State Law Exam); FYI, August 2000; FYI, January 2000
Series 72 (Government Securities Representatives Exam); 98-16; FYI, May 1997
Series 79 (Limited Representative — Investment Banking); 09-41

Series 86/87 (Research Analyst Qualification Examination); 05-24; 05-14; 05-13; 04-81

Termination or Suspension of; 02-58

Waiver Requests; 08-67

Uniform Registration Forms; 08-20

TRN 2/24/09; 09-08; 08-31; 07-65; 07-63; 07-39; 07-23; 06-67

D; (See Securities and Exchange Act (SEA) Rules)

M; (See Securities and Exchange Act (SEA) Rules)

T; (See Federal Reserve System)

SHO; (See Securities and Exchange Act (SEA) Rules)

S-P; (See Securities and Exchange Act (SEA) Rules)

09-40

08-72; 08-37; 08-19; 07-63; 06-39; 05-11

Mutual Fund; 97-47

Final Renewal Statements; 09-01; 08-59; 08-01; 07-48; 07-01; 05-01; 04-02; FYI, February 2002; FYI, February 2001
Payment Reminder; FYI, December 1999
Registration Renewal; 08-59; 08-01; 07-48; 07-01; 06-59; 05-73; 05-01; 04-74; 04-02; 03-61; 03-01; 02-67; 02-48; 02-03; 01-75; 01-02; 00-72; 00-01; 99-85; 99-06; 98-84; 98-09; 97-70

09-02; 08-64; 06-31; 03-36; 03-23; 02-34; 01-84; FYI, December 2001

Auction Rate Securities; 09-12

08-68; 03-73

08-55; 08-16; 08-15; 07-04; 05-34; 05-13

NASD Sanction Guidelines; 05-17

08-55; 08-16; 08-15; 07-64; 07-04; 05-24; 05-14; 05-13; 04-81; 04-25; 04-18; 03-44; FYI, November 2002; 02-44; 02-39; 00-15; 98-54

NASD Sanction Guidelines; 05-17

Trading Ahead of; 09-11

07-60; FYI, May 2002

Deposits; 07-60

08-65; 08-60

08-66

09-34; 03-54

Disclosure Proposal; 99-02; 97-29
Ratings, Bond Mutual Fund; 96-84
Risk Management Practices; 99-92

Risk Monitoring Procedures and Guidelines; 09-30

08-18

09-08; 07-46; 07-38

09-50; 09-40; 09-33; 09-11; 08-78; 08-57; IN 10/6/08; IN 3/12/08

(see the FINRA Manual for FINRA rules and related Notices)

Circulation; 09-29; 08-68