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|
|May 9, 2017||Interpretive Letter to Elliott R. Curzon, Dechert LLP||Conduct Rules||FINRA Rule 5131 – New Issue Allocations and Distributions|
|Jun 12, 2017||Interpretive Letter to Clair Pagnano, K&L Gates LLP||Conduct Rules||FINRA Rule 2210 - Communications with the Public|
|Dec 11, 2017||Interpretive Letter to Lawrence Cohen, Gordon Rees Scully Mansukhani, LLP||Conduct Rules||FINRA Rule 5130 - Restrictions on the Purchase and Sale of Initial Equity Public Offerings|
|Apr 16, 2018||Interpretive letter to Joan E. Boros, Esq., Stradley Ronon Stevens & Young, LLP||Conduct Rules||FINRA Rule 2210 - Communications with the Public|
|Jan 31, 2019||Interpretive letter to Meredith F. Henning, Foreside||Conduct Rules||FINRA Rule 2210 - Communications with the Public|
|May 30, 2019||Interpretive letter to Jonathan D. Wiley, The Forbes Securities Group||Capital Acquisition Broker Rules||CAB Rule 016(c) – Capital Acquisition Broker|