Tuesday, September 10, 201309-10-2013 Merrill Lynch, Pierce, Fenner & Smith Inc. SEC ADO ADO Attachment(s): SB-05-13 Merrill Lynch, Pierce, Fenner & Smith Inc. Administrative Settlement Agreement SB-CO-09-11 Merrill Lynch, Pierce, Fenner & Smith Administrative Consent Order SB-CO-05-10 Merrill Lynch, Pierce, Fenner & Smith Inc. Administrative Consent Order 01/03/11 SB-03-01 Merrill Lynch, Pierce, Fenner & Smith Inc. Order Granting Waiver 11/04/03
