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Albrecht — materials 1

12b-1 Fees

January 1 2007

Live Prices and Stale Quantities: T+1 Accounting and Mutual Fund Mispricing

Compliance Toolbox

January 1 2007

NASD SUPERVISORY CONTROL AMENDMENTS WORKSHOP TELEPHONE TRANSCRIPT DECEMBER 16, 2004 1:00 P.M.

Annual Review

January 1 2007

Albrecht — NASD NTM 04-71.pdf

Examinations Enforcement: Settlement

January 1 2007

Petition for Rulemaking – Funds of Funds Disclosure and Unregistered Investment Vehicles

Investment Advisers

December 28 2006

EXECUTIVE COMPENSATION DISCLOSURE

Final Rule Releases

December 22 2006

INTERNAL CONTROL OVER FINANCIAL REPORTING IN EXCHANGE ACT PERIODIC REPORTS OF NON-ACCELERATED FILERS AND...

Final Rule Releases

December 15 2006

COVERED SECURITIES PURSUANT TO SECTION 18 OF THE SECURITIES ACT OF 1933

Advisory Agreements

November 16 2006

Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 J.P. Morgan Securities Inc.

Investment Advisers

October 31 2006

Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 J.P. Morgan Securities Inc. October 31, 2003 RESPONSE OF THE OFFICE OF CHIEF COUNSEL IM ...

Definition of Eligible Portfolio Company under the Investment Company Act of 1940

Final Rule Releases

October 25 2006

1...1,4931,4941,495...1,534 Page 1,494 of 1,534

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