Advertising Regulation-Related Notices

Account Statements: 08-77

Approval & Recordkeeping: 96-82, 98-11, 03-33, 05-27, 06-45, 07-64, 08-12, 08-73

Auction Rate Securities: 08-21

Bond Mutual Fund Volatility/Risk Rating: 00-23, 01-58, 03-48, 06-05

Branch Offices: 02-52, 05-66, 05-67, 06-12, 14-11

Brokerage: 13-25

BrokerCheck Link: 14-19, 15-50

Capital Acquisition Broker Rules: 16-37, 17-14

Capital Formation: 17-14

Cash Alternatives: 08-82

Certificates of Deposit: 02-28, 02-69

Commodity-Linked Futures: 10-51

Communications with the Public: 09-50, 09-55, 01-45, 03-38, 12-29, 13-03, 14-14, 14-19, 14-30, 15-16, 15-17, 16-41, 17-06

Complex Products: 12-03

Consolidated Reports: 10-19

Correspondence: 96-82, 98-83, 99-03, 06-45, 12-29

Crowdfunding: 13-34, 16-07, 17-14,

Customer Accounts Statements: 14-35

Day-Trading: 00-61, 02-35

Designations: 08-28, 11-52

Direct Participation Programs: 05-02, 08-35, 11-44, 12-14, 13-18

Department of Labor (DOL): 12-02

Electronic Communications: 96-50, 98-03, 03-33, 07-30, 07-59, 10-06, 11-39

Enforcement Process: 09-17

Equity Indexed Annuities: 05-50

Exchange Traded Funds: 09-31, 11-49

Expense Ratio: 06-48

Expertise: 08-27

Fee Disclosure: 98-107, 06-48

Fees: 12-02, 12-29, 12-32, 13-23

Filing Fees: 98-97

Filing Requirements: 05-25, 12-29, 15-16, 16-41

FINRA Logo: 07-02, 07-47, Information Notice 1/8/16

FINRA Membership/Name: 04-64, 07-02, 07-47, 11-49

Foreign Currency Exchange: 08-66

Free Writing Prospectus: 10-52

Futures: 14-24

Generic Communications: 15-16, 16-41

Ghost-Writing: 08-29

High Yield Securities: 08-81

Home Equity Funded Investments: 04-89

Illiquid Investments: 08-30

Indications of Interest: 09-28

Individual Retirement Accounts (IRAs): 13-24

Institutional Communications: 12-29

Investment Analysis Tools: 02-51, 04-86, 15-16, 16-41

JOBS Act: 16-07

Life Settlements: 09-42

Margin Risk Disclosure: 02-36, 07-14, 09-61

Municipal Fund Securities: 03-17

Municipal Securities : 10-41

Mutual Funds: 00-21, 03-48, 03-50, 04-26, 04-72, 06-05, 06-48, 08-58, 8-107

National Do-Not-Call Registry: 04-15, 05-07

Negative Response Letters: 02-57, 08-48

New Firm Communications: 12-29, 12-33, 15-16

Non-Cash Compensation: 05-40

Options: 05-03, 08-28, 08-73, Information Notice - 8/26/08, 09-60, Information Notice 6/15/10, Information Notice 02/07/2011, Information Notice - 2/9/12 , Information Notice 12/29/09

Performance: 06-48, 00-22

Principal Approval: 03-37, 08-28, 10-06, 11-39, 17-18

Principal Protected Notes: 09-73

Private Placements: 05-18, 07-27, 10-22, 11-04, 12-40, 16-07

Projections: 17-06

Questions & Answers (FAQ): 13-03, 15-17

Rankings: 03-38, 15-16, 16-41

Real Estate Investment Trusts: 11-44, 12-14, 13-18

Regulation A Offerings: 15-32

Regulation D Offerings: 05-18

Reprints: 03-38

Research Reports: 02-39, 03-44, 04-18, 04-81, 05-14, 05-24, 05-34, 06-36, 07-04, 07-12, 07-64, 08-15, 08-16, 08-55, 11-11, 11-41, 12-09, 12-42, 14-30, 15-30, 15-31, 17-16

Retirement Plans: 12-03

Reverse Convertables: 10-09

Sanction Guidelines: 99-16, 05-17, 06-10, 11-07, 11-13

Security Futures: 02-73, Information Notice - 8/26/08

Senior Investors: 07-43, 11-52

Shareholder Reports: 15-16, 16-41

SIPC: 07-29

Social Media: 98-03, 03-33, 07-59, 07-30, 10-06, 11-39, 17-18

Stocks: 99-11

Structured Products: 05-59, 09-73, 10-09, 11-52

Suitability: 96-60, 11-02, 11-25

Supervision: 96-61, 96-82, 98-38, 03-33, 03-49, 04-71, 05-08, 05-29, 05-50, 07-12, 07-30, 08-24, 09-10, 09-34, 09-50, 09-55, 10-06, 11-14, 11-39, 14-10, 17-18

Telemarketing: 97-01, 12-17

Television & Video: 05-25, 09-34

Templates: 15-16, 16-41

Tenants-in-Common Interests: 05-18

Treasury Inflation Protected Securities (TIPS): 11-49

Variable Products: 96-86, 97-27, 99-35, 00-44, 04-45, 06-38, 07-53, 08-39, 09-32, 10-05