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Interpretive Letters

 
Interpretive letters provide guidance on the staff's views as to the application of particular FINRA rules under specific circumstances. Members, associated persons, and their counsel should consider seeking further guidance regarding their own unique circumstances.

Date Title Related Rule Core Topic
Dec 17, 1999 Interpretive Letter to Merrill E. Weber, Red Oak Financial Corporation
Nov 18, 1999 Interpretive Letter to Name Not Public Gifts, Gratuities and Non-Cash Compensation
Nov 11, 1999 Interpretive Letter to Andrew Gotfried, Raymond James Financial Services Qualification Exams
Oct 29, 1999 Interpretive Letter to Robert E. Lee, Counsel, P&A Administrative Services, Inc.
Oct 26, 1999 Interpretive Letter to James A. Ricketts, Ameritrade, Inc.
Sep 28, 1999 Interpretive Letter to Gerald L. Fishman, Esq., Wolin & Rosen
Sep 21, 1999 Interpretive Letter to Cliff Palefsky, Esq., National Employment Lawyers Association
Sep 09, 1999 Interpretive Letter to Robert L. Winston, American Funds Distributors, Inc. Gifts, Gratuities and Non-Cash Compensation
Jul 23, 1999 Interpretive Letter to Name Not Public
Jun 10, 1999 Interpretive Letter to Henry H. Hopkins and Sarah McCafferty, T. Rowe Price Investment Services, Inc. Gifts, Gratuities and Non-Cash Compensation
May 20, 1999 Interpretive Letter to Harley Whitfield, American Equity Capital, Inc. Gifts, Gratuities and Non-Cash Compensation
Mar 31, 1999 Interpretive Letter to Robert B. Saginaw, Counsel, ReliaStar Financial Corp. Gifts, Gratuities and Non-Cash Compensation
Mar 15, 1999 Interpretive Letter to Martin Miller, Esq., Willkie Farr & Gallagher
Mar 08, 1999 Interpretive Letter to Robert H. Stanley, B-Trade Services
Mar 08, 1999 Interpretive Letter to Jess L. Haberman, Automated Securities Clearance, Ltd.
Mar 05, 1999 Interpretive Letter to J. Craig Long, Esq., Foley & Lardner Options, Advertising Regulation
Feb 17, 1999 Interpretive Letter to Name Not Public
Feb 08, 1999 Interpretive Letter to Roger D. Blanc, Esq., Willkie Farr & Gallagher
Feb 05, 1999 Interpretive Letter to W. Thomas Conner, National Association for Variable Annuities Options, Advertising Regulation
Jan 29, 1999 Interpretive Letter to Trish Stone-Damen, Investors Retirement & Management Company, Inc.
Jan 27, 1999 Interpretive Letter to Karin Wolman, Esq., Wilders & Weinberg, P.C. (Research Personnel) Qualification Exams
Jan 06, 1999 Interpretive Letter to Jack Hodges, William O'Neil + Co, Inc.
Dec 09, 1998 Interpretive Letter to Leslie D. Smith, Berthel Fisher & Company
Dec 09, 1998 Interpretive Letter to Leslie D. Smith, Berthel Fisher & Company
Dec 07, 1998 Interpretive Letter to Victoria Bach-Fink, Wall Street Financial Group