Interpretive Letters

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 / Topicsort descending
Jul 30, 1998 Interpretive Letter to Charles R. Hood, Instinet Corporation Marketplace Rules NASD Rules 6950-6957 (OATS)
Jul 17, 1998 Interpretive Letter to Name Not Public Marketplace Rules NASD Rules 6950-6957 (OATS)
Jul 2, 1998 Interpretive Letter to Kenneth E. Leopold, Neuberger & Berman, LLC Marketplace Rules NASD Rules 6950-6957 (OATS)
Dec 19, 2007 Interpretive Letter to Mr. Julian Rainero, Bracewell & Giuliani LLP Marketplace Rules NASD Rules 6950-6957 (OATS)
May 28, 2008 Interpretive Letter to Mr. Julian Rainero, Bracewell & Giuliani LLP Marketplace Rules NASD Rules 6950-6957 (OATS)

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