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 Privacy Regulations* Rules of Practice and Procedures for Securities Hearings* Securities Licensing Registration* Securities Registration Regulations*                                                                                                          Securities Bulletins Bulletin 05-SB-005 11/09: Procedures for Filing Broker-Dealer Annual Financial Reports* Bulletin 03-SB-004-3/21: Notice of Revisions to the Securities Bureau Filing Procedures* 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 Orders SB-07-002* David Teitelbaum, DBA Moneybalance.com SB-03-01*   Merril Lynch, Pierce, Fenner and Smith, Incorporated SB-03-02*   Compressus, Incorporated SB-03-03*   Intelligence Data Systems SB-04-01*   Blackboard, Incorporated SB-04-02*   Advertising.com, Incorporated SB-04-03* | Attachment*      Quantum Financial Advisors, Incorporated SEC. CO 03-01*    Bear, Sterns and Company, Incorporated SEC. CO 03-02*    Credit Suisse First Boston SEC. CO 03-03*    Goldman Sachs SEC. CO 03-05*    Morgan Stanley and Company, Incorporated SEC. CO 03-06*    US Bancorp Piper Jaffay SEC. CO 03-07*    Citigroup Global Markets, Incorporated SEC. CO 03-09*    Lehman Brothers, Incorporated 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   * 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.