Date: July 9, 1998 Comment Letter on NYSE Shareholder Approval Policy Regarding Stock Option Plans, August 1998
Date: June 12, 1998 Comment Letter on NASAA Proposal for Sales of Securities at Financial Institutions, June 1998
Date: May 29, 1998 Comment Letter on Proposed Changes to NASD Rules Regarding Customer Correspondence Standards, May 1998
Date: May 12, 1998 Comment Letter on NASDR Proposed Rule Amendments Regarding Review of Customer Correspondence, May 1998
Date: April 28, 1998 Letter to NASAA Re Proposed Examination for Investment Adviser Representatives, April 1998
Date: April 27, 1998 Institute Comments on Agenda for Upcoming Conference on Uniformity of Federal-State Securities Regulation, April 1998
Date: April 13, 1998 Comment Letter on SEC Year 2000 Temporary Rule Proposals for Transfer Agents and Broker-Dealers, April 1998