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 |
|---|---|---|---|
| Sep 27, 1994 | Interpretive Letter to Name Not Public | NASD Rule 3040 - Private Securities Transactions of an Associated Person | |
| Sep 15, 1994 | Interpretive Letter to Name Not Public | NASD Rule 3030 - Outside Business Activities of an Association Person | |
| Aug 05, 1994 | Interpretive Letter to Name Not Public | NASD Rule 3040 - Private Securities Transactions of an Associated Person | |
| May 18, 1993 | Interpretive Letter to Name Not Public | NASD Rule 2310 - Recommendations to Customers (Suitability) | |
| Feb 24, 1993 | Interpretive Letter to Name Not Public | NASD Rule 2860 - Options | |
| Nov 13, 1990 | Interpretive Letter to Name Not Public | NASD Rule 2310 - Recommendations to Customers (Suitability) | |
| Dec 22, 1988 | Interpretive Letter to Name Not Public | NASD Rule 2740 - Selling Concessions, Discounts, and Other Allowances |