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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
Jul 30, 1997 Interpretive Letter to Webster E. Janssen, Janssen Financial Services
Jul 03, 1997 Interpretive Letter to Name Not Public
Jun 19, 1997 Interpretive Letter to Bill T. Singer, Singer Zamansky LLP Qualification Exams
Apr 16, 1997 Interpretive Letter to Name Not Public
Apr 11, 1997 Interpretive Letter to Name Not Public Qualification Exams
Apr 11, 1997 Interpretive Letter to Name Not Public Variable Life Insurance Products, Advertising Regulation, Qualification Exams
Mar 04, 1997 Interpretive Letter to Name Not Public Public Offerings, Suitability
Feb 21, 1997 Interpretive Letter to Name Not Public Customer Account Transfers
Feb 19, 1997 Interpretive Letter to Name Not Public Qualification Exams
Jan 23, 1997 Interpretive Letter to Stuart J. Kaswell, SIA Public Offerings, Suitability
Jan 23, 1997 Interpretive Letter to Paul Saltzman, PSA Public Offerings
Dec 23, 1996 Interpretive Letter to Name Not Public
Dec 16, 1996 Interpretive Letter to Name Not Public
Nov 20, 1996 Interpretive Letter to Name Not Public
Nov 15, 1996 Interpretive Letter to Name Not Public
Sep 18, 1996 Interpretive Letter to Name Not Public
Aug 13, 1996 Interpretive Letter to Name Not Public Qualification Exams
Aug 09, 1996 Interpretive Letter to Name Not Public Qualification Exams
Jul 23, 1996 Interpretive Letter to Name Not Public
May 28, 1996 Interpretive Letter to Name Not Public
May 28, 1996 Interpretive Letter to Name Not Public
May 02, 1996 Interpretive Letter to Name Not Public
Nov 27, 1995 Interpretive Letter to Name Not Public Qualification Exams
Oct 31, 1995 Interpretive Letter to Name Not Public Advertising Regulation
Jul 26, 1995 Interpretive Letter to Richard Lewandowski, The Options Exchange