Regulation
Uniform Practice Code |
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NASD Rule 11190 - Reconfirmation and Pricing Service Participants |
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| 6/9/10 | Interpretive Letter to Merrie Faye Witkin, The Depository Trust & Clearing Corporation | |
NASD Rule 11200 Series |
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| 10/15/01 | Interpretive Letter to Mark W. Bolle, Raymond James Financial Services, Inc. | |
NASD Rule 11870 - Customer Account Transfer Contracts |
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| 2/21/97 | Interpretive Letter to Name Not Public | |
Types of Interpretive Letters
- By-Laws
- Membership Registration Rules
- Conduct Rules
- Marketplace Rules
- Procedural Rules
- Uniform Practice Code