Guidance

FAQ
Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
March 24, 2020
2018 Exam Findings Report
Operations Professional Registration
December 07, 2018
FAQ
SIE Exam and Exam Restructuring Frequently Asked Questions (FAQs)
August 15, 2018
A Few Minutes With FINRA
A Few Minutes with FINRA: Exam Restructuring + the SIE Exam
June 06, 2018
Interpretive Letter
Interpretive Letter to Wallace W. Kunzman, Jr., Kunzman & Bollinger, Inc.
December 01, 2014
Guidance
Regulatory Notice 13-22
June 28, 2013
Interpretive Letter
Interpretive Letter to Amy Natterson Kroll, Bingham McCutchen LLP
February 08, 2013
Interpretive Letter
Interpretive Letter to S. Kendrick Dunn, Pacific Select Distributors, Inc.
February 05, 2013
Guidance
Regulatory Notice 11-42
September 16, 2011
Interpretive Letter
Interpretive Letter to Michael Brennan
July 29, 2010
Guidance
Regulatory Notice 08-67
November 07, 2008
Guidance
Regulatory Notice 08-61
October 23, 2008
Interpretive Letter
Interpretive Letter to Evan Charkes, Citigroup Global Markets, Inc.
November 30, 2006
Interpretive Letter
Interpretive Letter to Mr. Alan E. Sorcher, Securities Industry Association & Ms. Sarah A. Miller, ABA Securities Association
December 12, 2005
Interpretive Letter
Interpretive Letter to Mark W. Riepe, Charles Schwab & Co., Inc.
August 20, 2004
Interpretive Letter
Interpretive Letter to Mr. Alan E. Sorcher, Securities Industry Association & Ms. Sarah A. Miller, ABA Securities Association
August 05, 2004
Interpretive Letter
Interpretive Letter to Name Not Public
November 26, 2001
Interpretive Letter
Interpretive Letter to Kevin L. Palmer, WMA Securities, Inc.
October 02, 2001
Interpretive Letter
Interpretive Letter to Elliott R. Curzon, Esq., Dechert Price & Rhoads
September 27, 2001
Interpretive Letter
Interpretive Letter to David A. Genelly, Esq., Vanasco Genelly & MIller
September 25, 2001
Interpretive Letter
Interpretive Letter to Mr. Alan E. Sorcher, Securities Industry Association & Ms. Sarah A. Miller, ABA Securities Association
September 06, 2001
Interpretive Letter
Interpretive Letter to Newton B. Schott, Jr., PIMCO Funds
June 06, 2001
Interpretive Letter
Interpretive Letter to Lena M. Stinson, Stanford Group Company
June 04, 2001
Interpretive Letter
Interpretive Letter to Thomas W. Hands, TradePortal Securities, Inc.
April 19, 2001
Interpretive Letter
Interpretive Letter to George W. Mann, Jr., Boston Stock Exchange
February 13, 2001