Jul 30, 1997 |
Interpretive Letter to Webster E. Janssen, Janssen Financial Services |
NASD Rule 3030 - Outside Business Activities of an Association Person |
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Jul 03, 1997 |
Interpretive Letter to Name Not Public |
NASD IM-2110-2 - Trading Ahead of Customer Limit Order |
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Jun 19, 1997 |
Interpretive Letter to Bill T. Singer, Singer Zamansky LLP |
NASD Rule 1030 Series - Registration of Representatives |
Qualification Exams |
Apr 16, 1997 |
Interpretive Letter to Name Not Public |
NASD IM-2110-2 - Trading Ahead of Customer Limit Order |
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Apr 11, 1997 |
Interpretive Letter to Name Not Public |
NASD Rule 3010 - Supervision |
Variable Life Insurance Products, Advertising Regulation, Qualification Exams |
Apr 11, 1997 |
Interpretive Letter to Name Not Public |
NASD Rule 2420 - Dealing with Non-Members |
Qualification Exams |
Mar 04, 1997 |
Interpretive Letter to Name Not Public |
NASD Rule 2310 - Recommendations to Customers (Suitability) |
Public Offerings, Suitability |
Feb 21, 1997 |
Interpretive Letter to Name Not Public |
NASD Rule 11870 - Customer Account Transfer Contracts |
Customer Account Transfers |
Feb 19, 1997 |
Interpretive Letter to Name Not Public |
NASD Rule 1020 Series - Registration of Principals |
Qualification Exams |
Jan 23, 1997 |
Interpretive Letter to Stuart J. Kaswell, SIA |
NASD Rule 2310 - Recommendations to Customers (Suitability) |
Public Offerings, Suitability |
Jan 23, 1997 |
Interpretive Letter to Paul Saltzman, PSA |
NASD Rule 2310 - Recommendations to Customers (Suitability) |
Public Offerings |
Dec 23, 1996 |
Interpretive Letter to Name Not Public |
NASD IM-2420-2 - Continuing Commissions Policy |
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Dec 16, 1996 |
Interpretive Letter to Name Not Public |
NASD Rule 3040 - Private Securities Transactions of an Associated Person |
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Nov 20, 1996 |
Interpretive Letter to Name Not Public |
NASD IM-2420-2 - Continuing Commissions Policy |
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Nov 15, 1996 |
Interpretive Letter to Name Not Public |
NASD Rule 2740 - Selling Concessions, Discounts, and Other Allowances |
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Sep 18, 1996 |
Interpretive Letter to Name Not Public |
NASD Rule 3370 - Prompt Receipt and Delivery of Securities |
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Aug 13, 1996 |
Interpretive Letter to Name Not Public |
NASD Rule 3010 - Supervision |
Qualification Exams |
Aug 09, 1996 |
Interpretive Letter to Name Not Public |
NASD Rule 3010 - Supervision |
Qualification Exams |
Jul 23, 1996 |
Interpretive Letter to Name Not Public |
NASD Rule 3040 - Private Securities Transactions of an Associated Person |
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May 28, 1996 |
Interpretive Letter to Name Not Public |
NASD Rule 3070 - Reporting Requirements |
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May 28, 1996 |
Interpretive Letter to Name Not Public |
NASD Rule 3070 - Reporting Requirements |
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May 02, 1996 |
Interpretive Letter to Name Not Public |
NASD Rule 2440 - Fair Prices and Commissions |
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Nov 27, 1995 |
Interpretive Letter to Name Not Public |
NASD Rule 1020 Series - Registration of Principals |
Qualification Exams |
Oct 31, 1995 |
Interpretive Letter to Name Not Public |
NASD Rule 3110 - Books and Records |
Advertising Regulation |
Jul 26, 1995 |
Interpretive Letter to Richard Lewandowski, The Options Exchange |
NASD Rule 3370 - Prompt Receipt and Delivery of Securities |
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