Securities-Related Regulations, Bulletins, Notices and Orders The listed documents below are administered and enforced by DISB's Securities Bureau. To view a list of all DISB-related Regulations, Bulletins, Notices and Orders, please follow this link, Regulations, Bulletins, Notices and Orders. Securities Regulations and Rulemakings                                                                                                      Securities Regulations* DISB Rulemakings* Securities Bulletins Bulletin 11-BB-29-11/16: Reporting Requirements for Banks and other Financial Managers under the Adult Protective Services Act* Bulletin 11-SB-03-07/21: Implications of Dodd Frank Act and SEC Rules* Bulletin 11-SB-01-01/05: Form ADV Part 2* Bulletin 09-SB-007 3/19 Private Placement Issuers and Securities Professionals* Bulletin 05-SB-005 11/09: Procedures for Filing Broker-Dealer Annual Financial Reports* Bulletin 03-SB-004-3/21: Change of Address for Securities Bureau Lockbox Filings* USA Patriot Act of 2001 (Securities)* Securities Act Q & A - Release 02-01* Bulletin 01-SB-002: Securities Fees* Bulletin 01-SB-001: Section 305 Exemption* Securities Order              Title                                                                                                                                SB-CO-09-11* Merrill Lynch, Pierce, Fenner, & Smith Incorporated SB-CO-11-11* JP Morgan Chase & Co. SB-C0-14-11* UBS Securities, LLC and UBS Financial Services, Inc. SB-CO-01-11* Newbury Street Capital Limited Partnership SB-CO-10-11* Deutsche Bank Securities, Inc. SB-CO-03-1* RBC Capital Markets Corporation SB-CO-06-10* Bank of America Securities LLC and Banc of America Investment Services, Inc. SB-CO-02-10* Citigroup Global Markets Inc. SB-09-02* Wachovia Securities, LLC SB-CO-05-10* Merrill Lynch, Pierce, Fenner, & Smith Incorporated SB-09-01* One World Corporation, Mary Hicklin-Hurley, and Anthony Hurley SC #SB-08-10* GRW Capital Corporation, and Allison Street Advisors, LLC SB-08-006* Morgan Stanley & Co. SB-08-005* Banc of America Investment Services, Inc. SB-04-02* Byron K. Brown, Sr., IGT Investment Company, and IGT Financial Services SB-08-01* Metro Dream Homes, LLC, Metropolitan Grapevine, LLC, POS DH, LLC d/b/a POS Dream Home, Andrew H. Williams and Isaac J. Smith SB-07-003* Metro Dream Homes, LLC, Metropolitan Grapevine, LLC, POS DH, LLC d/b/a POS Dream Home, Andrew H. Williams and Isaac J. Smith SB-07-001* SB-07-001 Arnold H. Mays SB-07-002* David Teitelbaum, DBA Moneybalance.com SB-06-003* Wachovia Capital Markets, LLC SB-05-04* Waddell & Reed, Inc. and W&R Insurance Agency, Inc. SEC.CO 05-01* Thomas Weisel Partners Consent Agreement SB-05-02* Thomas R. Femister SB-05-01* L. H. Ross Company, Inc. and Franklin Ross Michelin SEC. CO 05-02* Deutsche Bank Analyst Order SB-04-03* Joseph F. Rinaldi SB-04-02* Advertising.com, Incorporated SB-03-02* Compressus, Incorporated SB-04-01* Blackboard, Incorporated SEC. CO 03-01* Bear, Sterns and Company, Incorporated SEC. CO 03-07* Citigroup Global Markets, Incorporated SEC. CO 03-06* US Bancorp Piper Jaffay SEC. CO 03-03* Goldman Sachs SEC. CO 03-02* Credit Suisse First Boston SEC. CO 03-09* Lehman Brothers, Incorporated SB-03-01* Merril Lynch, Pierce, Fenner and Smith, Incorporated SB-03-03*  Intelligence Data Systems SEC. CO 03-05* Morgan Stanley and Company, Incorporated Beach First National Bancshares* SB-0001-01* Quantum Financial Advisors, Incorporated   * This document is presented in Portable Document Format (PDF) and a PDF reader is required for viewing. Download a PDF reader or learn more about PDFs.