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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
Oct 16, 2000 Interpretive Letter to Justine Rusin, Merit Capital Associates, Inc. (Use of Negative Response Letters) Negative Response Letters, Advertising Regulation, Customer Account Transfers
Oct 12, 2000 Interpretive Letter to Eric A. Arnold, Esq., Sutherland Asbill & Brennan LLP Gifts, Gratuities and Non-Cash Compensation, Public Offerings
Oct 02, 2000 Interpretive Letter to Allan H. Pessin, Securities Compliance Consultants Inc. Qualification Exams
Oct 02, 2000 Interpretive Letter to Janna R. Severance, Esq., Moss & Barnett Qualification Exams
Sep 28, 2000 Interpretive Letter to Leslie U. Harris, East/West Securities Co.
Sep 27, 2000 Interpretive Letter to Kathleen A. Wieland, William Blair & Company
Aug 31, 2000 Interpretive Letter to Thomas E. Hellings, Securities America, Inc. Public Offerings
Aug 14, 2000 Interpretive Letter to Mr. Edward Balsmann, Morgan Keegan & Company, Inc. Qualification Exams
Aug 14, 2000 Interpretive Letter to Ms. M. LaRae Bakerink, Pacific American Securities, LLC Qualification Exams
Aug 11, 2000 Interpretive Letter to David M. Rappaport, Esq., INVESTACORP Inc. Qualification Exams
Aug 04, 2000 Interpretive Letter to Alan Feldstein, Esq., Development Corporation for Israel Public Offerings
Jul 24, 2000 Interpretive Letter to Fiona Kaufman, Esq., SVB Securities, Inc.
Jul 19, 2000 Interpretive Letter to Stephen M. Vine, Esq., Akin, Gump, Strauss, Hauer & Feld, L.L.P. Qualification Exams
Jul 19, 2000 Interpretive Letter to Joanne Ferrari, Weeden & Co., L.P. Qualification Exams
Jul 05, 2000 Interpretive Letter to Kathleen A. Wieland, William Blair & Company, L.L.C.
Jun 20, 2000 Interpretive Letter to Robinson Markel, Esq., Rosenman & Colin, LLP
Jun 15, 2000 Interpretive Letter to Steven F. Gatti, Esq., Clifford, Chance, Rogers & Wells
May 31, 2000 Interpretive Letter to Michael R. Miller, Esq., Kunkel Miller & Hament
Apr 03, 2000 Interpretive Letter to Michael L. Kerley, Esq., MML Investors Services, Inc. Gifts, Gratuities and Non-Cash Compensation
Jan 21, 2000 Interpretive Letter to Peter D. Koffler, Esq., Twenty-First Securities Corporation
Jan 18, 2000 Interpretive Letter to Gordon C. Ogden, III, Profinancial, Inc.
Jan 18, 2000 Interpretive Letter to Michael T. Dorsey, Knight Securities, L.P.
Dec 23, 1999 Interpretive Letter to R. Bruce Hughes, Access Mortgage Services, Inc.
Dec 23, 1999 Interpretive Letter to Karen A. Steighner, Brokerage Administrators Corporation (includes attached incoming letter) Qualification Exams
Dec 17, 1999 Interpretive Letter to Merrill E. Weber, Red Oak Financial Corporation