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)
Apr 3, 2003 Interpretive Letter to Adam Zentner, Credit Suisse First Boston (Europe) Limited Marketplace Rules NASD Rules 6950-6957 (OATS)
Apr 2, 2003 Interpretive Letter to Jess Haberman, royalblue financial corporation Marketplace Rules NASD Rules 6950-6957 (OATS)
Feb 26, 2002 Interpretive Letter to Christian M. Camerino, ABN AMRO Securities, LLC Marketplace Rules NASD Rules 6950-6957 (OATS)
Mar 8, 1999 Interpretive Letter to Jess L. Haberman, Automated Securities Clearance, Ltd. Marketplace Rules NASD Rules 6950-6957 (OATS)
Jan 6, 1999 Interpretive Letter to Jack Hodges, William O'Neil + Co, Inc. Marketplace Rules NASD Rules 6950-6957 (OATS)

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