Marketplace Rules

NASD Rule 6150 - ACT Risk Management Functions

3/8/99   Interpretive Letter to Robert H. Stanley, B-Trade Services
 

NASD Rule 6200 Series - Trade Reporting and Compliance Engine (TRACE)

7/11/03   Interpretive Letter to Mustafa Fazel, National Financial Services, LLC
5/19/03   Interpretive Letter to James Hermann, William Blair & Company, LLC
3/18/03   Interpretive Letter to Alice Yau, J.P. Morgan Securities, Inc.
11/13/02   Interpretive Letter to Danny Ho, Commerzbank Securities
11/13/02   Interpretive Letter to Dennis C. Hensley, Sidley Austin Brown and Wood LLP
 

NASD Rule 6500 Series - OTC Bulletin Board Service

12/17/99   Interpretive Letter to Merrill E. Weber, Red Oak Financial Corporation
 

NASD Rules 6950-6957 (OATS)

5/28/08   Interpretive Letter to Mr. Julian Rainero, Bracewell & Giuliani LLP
12/19/07   Interpretive Letter to Mr. Julian Rainero, Bracewell & Giuliani LLP
4/4/03   Interpretive Letter to Adam Zentner, Credit Suisse First Boston (Europe) Limited
4/3/03   Interpretive Letter to Jess Haberman, royalblue financial corporation
2/26/02   Interpretive Letter to Christian M. Camerino, ABN AMRO Securities, LLC
3/8/99   Interpretive Letter to Jess L. Haberman, Automated Securities Clearance, Ltd.
1/6/99   Interpretive Letter to Jack Hodges, William O'Neil + Co, Inc.
10/27/98   Interpretive Letter to Jack Hodges, William O'Neil + Co, Inc.
7/30/98   Interpretive Letter to Charles R. Hood, Instinet Corporation
7/17/98   Interpretive Letter to Name Not Public
7/2/98   Interpretive Letter to Kenneth E. Leopold, Neuberger & Berman, LLC
 

FINRA Rules 7410-7470 (OATS)

5/21/10   Interpretive Letter to Claudia Crowley, NYSE Regulation, Inc.
3/26/10   Interpretive Letter to William D. Edick, Pickard and Djinis LLP