Guidance

Interpretive Letter
Interpretive Letter to Dennis Roth, Chesapeake Securities Research Corporation
January 29, 2001
Interpretive Letter
Interpretive Letter to Richard Bennett, Signal Securities, Inc.
January 19, 2001
Interpretive Letter
Interpretive Letter to Ms. Joanne Ferrari, Weeden & Co., L.P.
November 01, 2000
Interpretive Letter
Interpretive Letter to Allan H. Pessin, Securities Compliance Consultants Inc.
October 02, 2000
Interpretive Letter
Interpretive Letter to Janna R. Severance, Esq., Moss & Barnett
October 02, 2000
Interpretive Letter
Interpretive Letter to Mr. Edward Balsmann, Morgan Keegan & Company, Inc.
August 14, 2000
Interpretive Letter
Interpretive Letter to Ms. M. LaRae Bakerink, Pacific American Securities, LLC
August 14, 2000
Interpretive Letter
Interpretive Letter to David M. Rappaport, Esq., INVESTACORP Inc.
August 11, 2000
Interpretive Letter
Interpretive Letter to Stephen M. Vine, Esq., Akin, Gump, Strauss, Hauer & Feld, L.L.P.
July 19, 2000
Interpretive Letter
Interpretive Letter to Joanne Ferrari, Weeden & Co., L.P.
July 19, 2000
Interpretive Letter
Interpretive Letter to Karen A. Steighner, Brokerage Administrators Corporation (includes attached incoming letter)
December 23, 1999
Interpretive Letter
Interpretive Letter to Andrew Gotfried, Raymond James Financial Services
November 11, 1999
Interpretive Letter
Interpretive Letter to Karin Wolman, Esq., Wilders & Weinberg, P.C. (Research Personnel)
January 27, 1999
Interpretive Letter
Interpretive Letter to Therese Haberle, Charles Schwab
May 27, 1998
Interpretive Letter
Interpretive Letter to Karen A. Steighner, Brokerage Administrator Corporation
April 22, 1998
Interpretive Letter
Interpretive Letter to Franklin I. Ogele, Esq., Singer Zamansky LLP
March 16, 1998
Guidance
Interpretive Letter to Larry M. Kohn, L.M. Kohn & Company (Series 63 and Commission Overrides)
February 04, 1998
Interpretive Letter
Interpretive Letter to Francis X. Stone, Esq.
January 29, 1998
Interpretive Letter
Interpretive Letter to Laura Moret, American Express Financial Corporation
November 26, 1997
Interpretive Letter
Interpretive Letter to Bill T. Singer, Singer Zamansky LLP
June 19, 1997
Interpretive Letter
Interpretive Letter to Name Not Public
April 11, 1997
Interpretive Letter
Interpretive Letter to Name Not Public
April 11, 1997
Interpretive Letter
Interpretive Letter to Name Not Public
February 19, 1997
Interpretive Letter
Interpretive Letter to Name Not Public
August 13, 1996
Interpretive Letter
Interpretive Letter to Name Not Public
August 09, 1996