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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 05, 2001 Interpretive Letter to Jeffrey W. Kilduff, Esq., O'Melveny & Myers, LLP
Jun 27, 2001 Interpretive Letter to Jonathan K. Lagemann, Esq., Law Offices of Jonathan Kord Lagemann
Jun 18, 2001 Interpretive Letter to Philip J. Fina, Esq., Kirkpatrick & Lockhart LLP Gifts, Gratuities and Non-Cash Compensation
Jun 06, 2001 Interpretive Letter to Newton B. Schott, Jr., PIMCO Funds Qualification Exams
Jun 04, 2001 Interpretive Letter to Lena M. Stinson, Stanford Group Company Advertising Regulation, Supervision, Qualification Exams
May 25, 2001 Interpretive Letter to Name Not Public
May 25, 2001 Interpretive Letter to Name Not Public
May 15, 2001 Interpretive Letter to Charles Freund, Brown Brothers Harriman
Apr 27, 2001 Interpretive Letter to Name Not Public
Apr 19, 2001 Interpretive Letter to Thomas W. Hands, TradePortal Securities, Inc. Qualification Exams
Mar 18, 2001 Interpretive Letter to Klia Ververidis, Esq., AssetStream Corporation Customer Account Transfers
Mar 15, 2001 Interpretive Letter to Charles Wiegert, NFP Securities Gifts, Gratuities and Non-Cash Compensation
Mar 08, 2001 Interpretive Letter to Jay Adams Knight, Esq., Musick, Peeler & Garrett LLP
Mar 07, 2001 Interpretive Letter to Name Not Public Gifts, Gratuities and Non-Cash Compensation
Mar 07, 2001 Interpretive Letter to Name Not Public
Feb 13, 2001 Interpretive Letter to George W. Mann, Jr., Boston Stock Exchange Qualification Exams
Jan 29, 2001 Interpretive Letter to Dennis Roth, Chesapeake Securities Research Corporation Qualification Exams
Jan 23, 2001 Interpretive Letter to Isaac Schlesinger, Bishop, Rosen & Co., Inc.
Jan 19, 2001 Interpretive Letter to Richard Bennett, Signal Securities, Inc. Qualification Exams
Jan 16, 2001 Interpretive Letter to Stuart M. Strauss, Esq., Mayer, Brown & Platt
Dec 22, 2000 Interpretive Letter to Barbara A. Mallon, Esq., Mallon & Johnson, P.C.
Dec 11, 2000 Interpretive Letter to Brian C. Sullivan, LaBranche & Co.
Nov 27, 2000 Interpretive Letter to Angela Coronado, Brecek & Young Advisors, Inc. Public Offerings
Nov 01, 2000 Interpretive Letter to Ms. Joanne Ferrari, Weeden & Co., L.P. Qualification Exams
Oct 27, 2000 Interpretive Letter to Mr. Alan E. Sorcher, Securities Industry Association & Ms. Sarah A. Miller, ABA Securities Association