Comments on Rules

• Guidance Regarding the Duties and Responsibilities of Investment Company, October 1, 2008
• Comments on SEC Proposed Interp. Guidance Regarding Client Commissions, November 17, 2005
• Proposed amendments to SRO analyst conflict rules, March 10, 2003
• Proposed SEC Regulation Analyst Certification , September 20, 2002
• Application of Rule 2711 to Small Firms, August 29, 2002