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Interpretive Letters

 
Interpretive letters provide guidance on the staff's views as to the application of particular FINRA rules under specific circumstances. Members, associated persons, and their counsel should consider seeking further guidance regarding their own unique circumstances.

Date Title Related Rule Core Topic
Nov 13, 2002 Interpretive Letter to Dennis C. Hensley, Sidley Austin Brown and Wood LLP
Nov 04, 2002 Interpretive Letter to Donna B. Lawson, First Allied Securities, Inc.
Oct 29, 2002 Interpretive Letter to Kathleen H. Moriarty, Esq., Carter, Ledyard & Milburn
Oct 14, 2002 Interpretive Letter to Janet Gallo, Acacia Life Insurance Company
Sep 30, 2002 Interpretive Letter to Susan S. Krawczyk, Esq., Sutherland Asbill & Brennan LLP
Aug 19, 2002 Interpretive Letter to Howard L. Kramer, Schiff Hardin & Waite
Jun 04, 2002 Interpretive Letter to Selwyn Notelovitz, Global Compliance
Mar 01, 2002 Interpretive Letter to Frank Almeida, Quality of Life Settlements
Feb 26, 2002 Interpretive Letter to Christian M. Camerino, ABN AMRO Securities, LLC
Feb 04, 2002 Interpretive Letter to Ted. A. Troutman, Esquire, Muir & Troutman
Jan 28, 2002 Interpretive Letter to Forrest R. Foss, T. Rowe Price Associates, Inc. Templates, Advertising Regulation, Books and Records
Jan 02, 2002 Interpretive Letter to Name Not Public
Dec 06, 2001 Interpretive Letter to Sheryl Anne Zuckerman, Esq., Singer Frumento LLP
Nov 26, 2001 Interpretive Letter to Name Not Public Advertising Regulation, Supervision, Qualification Exams
Oct 15, 2001 Interpretive Letter to Mark W. Bolle, Raymond James Financial Services, Inc.
Oct 02, 2001 Interpretive Letter to Kevin L. Palmer, WMA Securities, Inc. Continuing Education, Qualification Exams
Sep 27, 2001 Interpretive Letter to Elliott R. Curzon, Esq., Dechert Price & Rhoads Qualification Exams
Sep 25, 2001 Interpretive Letter to David A. Genelly, Esq., Vanasco Genelly & MIller Qualification Exams
Sep 06, 2001 Interpretive Letter to Mr. Alan E. Sorcher, Securities Industry Association & Ms. Sarah A. Miller, ABA Securities Association Qualification Exams
Sep 05, 2001 Interpretive Letter to Donald H. Meiers, Holland & Knight, LLP
Aug 09, 2001 Interpretive Letter to Joe Tully, Commonwealth Financial Network
Aug 07, 2001 Interpretive Letter to Name Not Public
Aug 07, 2001 Interpretive Letter to Bob E. Lehman, Esq., Lehman & Eilen LLP
Aug 02, 2001 Interpretive Letter to Conrad C. Lysiak, Esq., Metropolitan Financial Center
Jul 18, 2001 Interpretive Letter to Joe Morkos-Doueihi, J.P. Morgan Securities, Inc.