Regulatory Notice 10-27

Changes to Customer Complaint Reporting Procedures Under NASD Rule 3070(c) and NYSE Rule 351(d)

Effective Date: July 1, 2010

Starting on July 1, 2010, the beginning of the third calendar quarter, firms must use revised and new product codes to report statistical information regarding written customer complaints relating to annuities and life settlement products. The first report using the revised and new codes is due by October 15, 2010, which is the reporting deadline for customer complaints received during the third calendar quarter.

Questions concerning this Notice should be directed to Anthony Cavallaro, Central Review Group, at (646) 315-7319.