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Pre-Sale Disclosures to Customers:
Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Submitted Comments

Jan. 20, 2012 Matthew B. Reischer, Voorhees, New Jersey
Aug. 30, 2010 J D, CFP
July 28, 2010 Robin McLeish, Virginia Beach, Virginia

Meetings with SEC Officials

Oct. 7, 2010 Memorandum from the Office of Commissioner Elisse B. Walter regarding an October 7, 2010 meeting with representatives from the Securities Industry and Financial Markets Association




Modified: 12/16/2014