Membership and Registration Rules

NASD Licensing In General

1/27/99   Interpretive Letter to Karin Wolman, Esq., Wilders & Weinberg, P.C. (Research Personnel)
2/4/98   Interpretive Letter to Larry M. Kohn, L.M. Kohn & Company (Series 63 and Commission Overrides)
 

NASD Rule 1020 Series - Registration of Principals

7/29/10   Interpretive Letter to Michael Brennan
11/2/00   Interpretive Letter to Ms. Joanne Ferrari, Weeden & Co., L.P.
10/2/00   Interpretive Letter to Allan H. Pessin, Securities Compliance Consultants Inc.
10/2/00   Interpretive Letter to Janna R. Severance, Esq., Moss & Barnett
1/29/98   Interpretive Letter to Francis X. Stone, Esq.
2/19/97   Interpretive Letter to Name Not Public
11/27/95   Interpretive Letter to Name Not Public
 

NASD Rule 1030 Series - Registration of Representatives

12/1/14   Interpretive Letter to Wallace W. Kunzman, Jr., Kunzman & Bollinger, Inc.
9/27/01   Interpretive Letter to Elliott R. Curzon, Esq., Dechert Price & Rhoads
9/25/01   Interpretive Letter to David A. Genelly, Esq., Vanasco Genelly & MIller
6/6/01   Interpretive Letter to Newton B. Schott, Jr., PIMCO Funds
4/19/01   Interpretive Letter to Thomas W. Hands, TradePortal Securities, Inc.
2/13/01   Interpretive Letter to George W. Mann, Jr., Boston Stock Exchange
1/29/01   Interpretive Letter to Dennis Roth, Chesapeake Securities Research Corporation
1/19/01   Interpretive Letter to Richard Bennett, Signal Securities, Inc.
8/14/00   Interpretive Letter to Ms. M. LaRae Bakerink, Pacific American Securities, LLC
8/14/00   Interpretive Letter to Mr. Edward Balsmann, Morgan Keegan & Company, Inc.
8/11/00   Interpretive Letter to David M. Rappaport, Esq., INVESTACORP Inc.
7/19/00   Interpretive Letter to Stephen M. Vine, Esq., Akin, Gump, Strauss, Hauer & Feld, L.L.P.
12/23/99   Interpretive Letter to Karen A. Steighner, Brokerage Administrators Corporation (includes attached incoming letter)
11/11/99   Interpretive Letter to Andrew Gotfried, Raymond James Financial Services
4/22/98   Interpretive Letter to Karen A. Steighner, Brokerage Administrator Corporation
6/19/97   Interpretive Letter to Bill T. Singer, Singer Zamansky LLP
 

NASD Rule 1040 Series - Assistant Representative - Order Processing

7/19/00   Interpretive Letter to Joanne Ferrari, Weeden & Co., L.P.
5/27/98   Interpretive Letter to Therese Haberle, Charles Schwab
 

NASD Rule 1060 - Persons Exempt from Registration

12/11/00   Interpretive Letter to Brian C. Sullivan, LaBranche & Co.
 

NASD Rule 1070 - Qualification Examinations and Waiver of Requirements

12/12/05   Interpretive Letter to Mr. Alan E. Sorcher, Securities Industry Association & Ms. Sarah A. Miller, ABA Securities Association
8/5/04   Interpretive Letter to Mr. Alan E. Sorcher, Securities Industry Association & Ms. Sarah A. Miller, ABA Securities Association
9/6/01   Interpretive Letter to Mr. Alan E. Sorcher, Securities Industry Association & Ms. Sarah A. Miller, ABA Securities Association
10/27/00   Interpretive Letter to Mr. Alan E. Sorcher, Securities Industry Association & Ms. Sarah A. Miller, ABA Securities Association
 

NASD Rule 1100 - Foreign Associates

7/18/01   Interpretive Letter to Joe Morkos-Doueihi, J.P. Morgan Securities, Inc.
 

NASD Rule 1120 - Continuing Education Requirements

10/2/01   Interpretive Letter to Kevin L. Palmer, WMA Securities, Inc.

Types of Interpretive Letters