Guidance

FAQ
Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
Tuesday, March 24, 2020
A Few Minutes With FINRA
A Few Minutes with FINRA: Exam Restructuring + the SIE Exam
Wednesday, June 06, 2018
Interpretive Letter
Interpretive Letter to Wallace W. Kunzman, Jr., Kunzman & Bollinger, Inc.
Monday, December 01, 2014
Guidance
Regulatory Notice 13-22
Friday, June 28, 2013
Interpretive Letter
Interpretive Letter to Amy Natterson Kroll, Bingham McCutchen LLP
Friday, February 08, 2013
Interpretive Letter
Interpretive Letter to S. Kendrick Dunn, Pacific Select Distributors, Inc.
Tuesday, February 05, 2013
Guidance
Regulatory Notice 11-42
Friday, September 16, 2011
Interpretive Letter
Interpretive Letter to Michael Brennan
Thursday, July 29, 2010
Guidance
Regulatory Notice 08-67
Friday, November 07, 2008
Guidance
Regulatory Notice 08-61
Thursday, October 23, 2008
Interpretive Letter
Interpretive Letter to Evan Charkes, Citigroup Global Markets, Inc.
Thursday, November 30, 2006
Interpretive Letter
Interpretive Letter to Mr. Alan E. Sorcher, Securities Industry Association & Ms. Sarah A. Miller, ABA Securities Association
Monday, December 12, 2005
Interpretive Letter
Interpretive Letter to Mark W. Riepe, Charles Schwab & Co., Inc.
Friday, August 20, 2004
Interpretive Letter
Interpretive Letter to Mr. Alan E. Sorcher, Securities Industry Association & Ms. Sarah A. Miller, ABA Securities Association
Thursday, August 05, 2004
Interpretive Letter
Interpretive Letter to Name Not Public
Monday, November 26, 2001
Interpretive Letter
Interpretive Letter to Kevin L. Palmer, WMA Securities, Inc.
Tuesday, October 02, 2001
Interpretive Letter
Interpretive Letter to Elliott R. Curzon, Esq., Dechert Price & Rhoads
Thursday, September 27, 2001
Interpretive Letter
Interpretive Letter to David A. Genelly, Esq., Vanasco Genelly & MIller
Tuesday, September 25, 2001
Interpretive Letter
Interpretive Letter to Mr. Alan E. Sorcher, Securities Industry Association & Ms. Sarah A. Miller, ABA Securities Association
Thursday, September 06, 2001
Interpretive Letter
Interpretive Letter to Newton B. Schott, Jr., PIMCO Funds
Wednesday, June 06, 2001
Interpretive Letter
Interpretive Letter to Lena M. Stinson, Stanford Group Company
Monday, June 04, 2001
Interpretive Letter
Interpretive Letter to Thomas W. Hands, TradePortal Securities, Inc.
Thursday, April 19, 2001
Interpretive Letter
Interpretive Letter to George W. Mann, Jr., Boston Stock Exchange
Tuesday, February 13, 2001
Interpretive Letter
Interpretive Letter to Dennis Roth, Chesapeake Securities Research Corporation
Monday, January 29, 2001
Interpretive Letter
Interpretive Letter to Richard Bennett, Signal Securities, Inc.
Friday, January 19, 2001

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