| Dec 07, 1998 |
Interpretive Letter to Elaine S. Moshe, Gordon Altman Butowsky Weitzen |
NASD Rule 2830 - Investment Company Securities |
|
| Oct 26, 1998 |
Interpretive Letter to Jack Hodges, William O'Neil + Co, Inc. |
NASD Rules 6950-6957 (OATS) |
|
| Sep 16, 1998 |
Interpretive Letter to Brian C. Underwood, A.G. Edwards & Sons, Inc. |
NASD Rule 2420 - Dealing with Non-Members |
|
| Jul 30, 1998 |
Interpretive Letter to Charles R. Hood, Instinet Corporation |
NASD Rules 6950-6957 (OATS) |
|
| Jul 30, 1998 |
Interpretive Letter to Dawn Bond, FSC Securities Corporation |
NASD Rule 2210 - Communications with the Public |
Filing Requirements, FINRA Membership/Name, Projections, Registered Investment Advisers (RIA), Advertising Regulation |
| Jul 17, 1998 |
Interpretive Letter to Name Not Public |
NASD Rules 6950-6957 (OATS) |
|
| Jul 02, 1998 |
Interpretive Letter to Kenneth E. Leopold, Neuberger & Berman, LLC |
NASD Rules 6950-6957 (OATS) |
|
| Jun 18, 1998 |
Interpretive Letter to Daniel Schloendorn, Willkie Farr & Gallagher |
NASD Rule 2710 - Corporate Financing Rule |
Public Offerings |
| Jun 08, 1998 |
Interpretive Letter to Christine A. Edwards, Morgan Stanley Dean Witter & Co. |
NASD Rule 2210 - Communications with the Public |
Business Cards, FINRA Membership/Name, Letterhead, Advertising Regulation |
| May 27, 1998 |
Interpretive Letter to Therese Haberle, Charles Schwab |
NASD Rule 1040 Series - Assistant Representative - Order Processing |
Qualification Exams |
| May 11, 1998 |
Interpretive Letter to Sandra M. Ng, Gruntal & Co., L.L.C. |
NASD Rule 2210 - Communications with the Public |
Advertising Regulation |
| Apr 22, 1998 |
Interpretive Letter to Karen A. Steighner, Brokerage Administrator Corporation |
NASD Rule 1030 Series - Registration of Representatives |
Advertising Regulation, Qualification Exams |
| Apr 09, 1998 |
Interpretive Letter to Joseph McLaughlin, Brown & Wood |
NASD Rule 2320 - Best Execution and Interpositioning |
|
| Mar 16, 1998 |
Interpretive Letter to Franklin I. Ogele, Esq., Singer Zamansky LLP |
NASD Rule 3010 - Supervision |
Branch Offices, Advertising Regulation, Supervision, Qualification Exams |
| Feb 04, 1998 |
Interpretive Letter to Larry M. Kohn, L.M. Kohn & Company (Series 63 and Commission Overrides) |
NASD Licensing In General |
Qualification Exams |
| Jan 29, 1998 |
Interpretive Letter to Francis X. Stone, Esq. |
NASD Rule 1020 Series - Registration of Principals |
Qualification Exams |
| Dec 09, 1997 |
Interpretive Letter to Lee A. Pickard, Pickard and Djinis |
NASD Rule 2740 - Selling Concessions, Discounts, and Other Allowances |
|
| Nov 26, 1997 |
Interpretive Letter to Laura Moret, American Express Financial Corporation |
NASD Rule 3010 - Supervision |
Principal Approval, Advertising Regulation, Supervision, Qualification Exams |
| Nov 11, 1997 |
Interpretive Letter to Craig S. Tyle, Investment Company Institute |
NASD Rule 2210 - Communications with the Public |
Hyperlinks, Advertising Regulation, Electronic Communications |
| Oct 26, 1997 |
Interpretive Letter to Paul D. Coury, The Coury Financial Group |
NASD Rule 3030 - Outside Business Activities of an Association Person |
|
| Sep 25, 1997 |
Interpretive Letter to David M. Katz, Sidley & Austin |
NASD Rule 2420 - Dealing with Non-Members |
|
| Aug 29, 1997 |
Interpretive Letter to Lloyd H. Feller, Morgan, Lewis & Bockius |
NASD Rule 2120 - Use of Manipulative, Deceptive, or Other Fraudulent Devices |
|
| Aug 29, 1997 |
Interpretive Letter to Lloyd H. Feller, Morgan, Lewis & Bockius |
NASD IM-3310 - Manipulative and Deceptive Quotations |
|
| Aug 20, 1997 |
Interpretive Letter to Peter D. Koffler, Twenty-First Securities Corporation |
NASD Rule 2420 - Dealing with Non-Members |
|
| Aug 04, 1997 |
Interpretive Letter to Name Not Public |
NASD Rule 3040 - Private Securities Transactions of an Associated Person |
|
