Advertising-Related Interpretive Letters

Conduct Rules

FINRA Rule 2210 - Communications with the Public

4/22/13   Interpretive Letter to Bradley J. Swenson, ALPS Distributors, Inc.
 

Membership and Registration Rules

 

NASD Rule 1030 Series - Registration of Representatives

4/22/98   Interpretive Letter to Karen A. Steighner, Brokerage Administrator Corporation
 

Conduct Rules

 

NASD Rule 2110 - Standards of Commercial Honor and Principles of Trade

7/9/08   FINRA Office of General Counsel (Auction Rate Securities)
8/15/06   NASD Office of General Counsel, Regulatory Policy and Oversight
6/2/06   Interpretive Letter to Michael R. Trocchio, Esq., Bingham McCutchen LLP
2/3/05   Interpretive Letter to Michael R. Trocchio, Esq., Bingham McCutchen LLP
11/10/04   Interpretive Letter to Michael R. Trocchio, Esq., Bingham McCutchen LLP
11/8/04   NASD Office of General Counsel, Regulatory Policy and Oversight
10/20/04   Interpretive Letter to Barry Harris, Banc of America Investment Services, Inc. (Use of Negative Response Letters)
5/1/03   Interpretive Letter to Michael D. Wolk, Esq., Foley and Lardner (Use of Negative Response Letters)
2/3/03   Interpretive Letter to Doug Wright, The Investment Center, Inc. (Use of Negative Response Letters)
2/3/03   Interpretive Letter to Marion A. Kashan, London Pacific Securities, Inc. (Use of Negative Response Letters)
10/16/00   Interpretive Letter to Justine Rusin, Merit Capital Associates, Inc. (Use of Negative Response Letters)
 

NASD Rule 2210 - Communications with the Public

9/28/07   Interpretive Letter to Dan Danborn, Society of Certified Senior Advisors
9/6/07   Interpretive Letter to Tamara K. Salmon, Investment Company Institute
8/1/06   Interpretive Letter to Eileen Ryan, Esq., Securities Industry Association, and Sarah Starkweather, Esq., The Bond Market Association
11/29/04   Interpretive Letter to Therese Squillacote, ING Financial Advisers, LLC
9/14/04   Interpretive Letter to Budge Collins, Collins/Bay Island Securities
12/30/03   Interpretive Letter to Yukako Kawata, Davis Polk & WardwellGeneral Letter
10/2/03   Interpretive Letter to Michael D. Udoff, Securities Industry Association
5/29/03   Interpretive Letter to Robert C. Hacker, Esq., Kirkpatrick & Lockhart, LLP
1/28/02   Interpretive Letter to Forrest R. Foss, T. Rowe Price Associates, Inc.
12/17/99   Interpretive Letter to Yoon-Young Lee, Wilmer, Cutler & Pickering
2/5/99   Interpretive Letter to W. Thomas Conner, National Association for Variable Annuities
7/30/98   Interpretive Letter to Dawn Bond, FSC Securities Corporation
6/8/98   Interpretive Letter to Christine A. Edwards, Morgan Stanley Dean Witter & Co.
11/11/97   Interpretive Letter to Craig S. Tyle, Investment Company Institute
 

NASD Rule 2211 - Institutional Sales Material and Correspondence

8/1/06   Interpretive Letter to Eileen Ryan, Esq., Securities Industry Association, and Sarah Starkweather, Esq., The Bond Market Association
 

NASD Rule 2220 - Options Communications with the Public

5/1/00   Interpretive Letter to Leonard Mayer, Schwab Capital Markets, L.P.
3/5/99   Interpretive Letter to J. Craig Long, Esq., Foley & Lardner
 

NASD Rule 2711 - Research Analysts and Research Reports

8/20/04   Interpretive Letter to Mark W. Riepe, Charles Schwab & Co., Inc.
 

NASD Rule 3010 - Supervision

11/26/01   Interpretive Letter to Name Not Public
6/4/01   Interpretive Letter to Lena M. Stinson, Stanford Group Company
12/17/99   Interpretive Letter to Yoon-Young Lee, Wilmer, Cutler & Pickering
3/17/98   Interpretive Letter to Franklin I. Ogele, Esq., Singer Zamansky LLP
11/26/97   Interpretive Letter to Laura Moret, American Express Financial Corporation
4/11/97   Interpretive Letter to Name Not Public
 

NASD Rule 3110 - Books and Records

11/1/95   Interpretive Letter to Name Not Public