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1.NASD

• Comment Letter to NASD: Rule 3040/Dual Employees (August 24, 2001)

2. Analyst Conflict of Interest Rules

• ABA/ABASA Comment Letter to SEC: NASD/NYSE Proposed Research Anaylsts Conflict of Interest Rules (April 18, 2002)

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Questions? Please contact Christen deMedeiros for more information.