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Pre-Sale Disclosures to Customers:
Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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| 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
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| 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 |
http://www.sec.gov/comments/df-title-ix/pre-sale-disclosures/pre-sale-disclosures.shtml
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