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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
Jun 01, 2004 Interpretive Letter to Dana G. Fleischman
Feb 17, 2004 Interpretive Letter to Tom Fleming, Dealogic
Feb 04, 2004 Interpretive Letter to Martin H. Kaplan, Esq., Gusrae, Kaplan & Bruno, PLLC
Dec 30, 2003 Interpretive Letter to Yukako Kawata, Davis Polk & Wardwell Related Performance, Advertising Regulation
Nov 24, 2003 Interpretive Letter to Dana Fleischman, Esq., Cleary, Gottlieb, Steen & Hamilton
Nov 07, 2003 Interpretive Letter to Harold L. Gladney
Oct 02, 2003 Interpretive Letter to Michael D. Udoff, Securities Industry Association Hedge Funds, Related Performance, Advertising Regulation
Sep 29, 2003 Interpretive Letter to Sarah A. Bessin, Esq., Shearman & Sterling LLP
Jul 11, 2003 Interpretive Letter to Mustafa Fazel, National Financial Services, LLC
May 29, 2003 Interpretive Letter to Robert C. Hacker, Esq., Kirkpatrick & Lockhart, LLP Advertising Regulation, Proprietary Trading
May 19, 2003 Interpretive Letter to James Hermann, William Blair & Company, LLC
May 01, 2003 Interpretive Letter to Michael D. Wolk, Esq., Foley and Lardner (Use of Negative Response Letters) Negative Response Letters, Advertising Regulation, Customer Account Transfers, Mergers Acquisitions and Business Transfers
Apr 03, 2003 Interpretive Letter to Adam Zentner, Credit Suisse First Boston (Europe) Limited
Apr 02, 2003 Interpretive Letter to Jess Haberman, royalblue financial corporation
Mar 17, 2003 Interpretive Letter to Alice Yau, J.P. Morgan Securities, Inc.
Feb 03, 2003 Interpretive Letter to Marion A. Kashan, London Pacific Securities, Inc. (Use of Negative Response Letters) Negative Response Letters, Advertising Regulation, Customer Account Transfers, Mergers Acquisitions and Business Transfers
Feb 03, 2003 Interpretive Letter to Marilyn J. Sponzo, Jorden Burt Gifts, Gratuities and Non-Cash Compensation, Variable Annuities
Feb 03, 2003 Interpretive Letter to Pamela M. Krill, Esquire, Godfrey & Kahn, S.C.
Feb 03, 2003 Interpretive Letter to Suart M. Strauss, Esq., Mayer, Brown, Rowe & Maw
Feb 03, 2003 Interpretive Letter to Marc. A. Cohn, Metropolitan Life Insurance Company Mergers Acquisitions and Business Transfers
Feb 03, 2003 Interpretive Letter to Doug Wright, The Investment Center, Inc. (Use of Negative Response Letters) Negative Response Letters, Advertising Regulation, Mergers Acquisitions and Business Transfers
Feb 03, 2003 Interpretive Letter to Pamela M. Krill, Esquire, Godfrey & Kahn, S.C.
Feb 03, 2003 Interpretive Letter to Marilyn A. Sponzo, Jordan Burt
Dec 12, 2002 Interpretive Letter to R. Cromwell Coulson, Pink Sheets LLC
Nov 13, 2002 Interpretive Letter to Dennis C. Hensley, Sidley Austin Brown and Wood LLP