All interpretive positions are staff position, unless otherwise indicated. Staff-issued interpretive letters express staff views and opinions only and are not binding on FINRA and its Board; any representation to the contrary is expressly disclaimed.
The letters provide general guidance on the staff's views as to the application of particular NASD rules under specific circumstance.
Members, associated persons, and their counsel should consider seeking further guidance regarding their own unique circumstances.
|Date||Title||Type||Related Rule / Topic|
|Aug 2, 2001||Interpretive Letter to Conrad C. Lysiak, Esq., Metropolitan Financial Center||Procedural Rules||NASD Rule 8300 Series - Sanctions|
|Oct 15, 2001||Interpretive Letter to Mark W. Bolle, Raymond James Financial Services, Inc.||Uniform Practice Code||NASD Rule 11200 Series|
|Feb 21, 1997||Interpretive Letter to Name Not Public||Uniform Practice Code||NASD Rule 11870 - Customer Account Transfer Contracts|
|Jun 9, 2010||Interpretive Letter to Merrie Faye Witkin, The Depository Trust & Clearing Corporation||Uniform Practice Code||NASD Rule 11190 - Reconfirmation and Pricing Service Participants|
|Dec 21, 2012||Interpretive Letter to Ira Hammerman, The Securities Industry and Financial Markets Association||Uniform Practice Code||FINRA Rule 11810 - Buy-In Procedures and Requirements|
|May 30, 2019||Interpretive letter to Jonathan D. Wiley, The Forbes Securities Group||Capital Acquisition Broker Rules||CAB Rule 016(c) – Capital Acquisition Broker|