Guidance

Report / Study
Joint SEC/NASD Report on Examination Findings Regarding Broker-Dealer Sales of Variable Insurance Products
June 09, 2004
Exemptive Letter
Marianne McKeon, Dewey Ballantine LLP
June 04, 2004
Interpretive Letter
Interpretive Letter to Dana G. Fleischman
June 01, 2004
Guidance
Improving Examination Results - April 2004
April 01, 2004
Guidance
Improving Examination Results - April 2004
April 01, 2004
Interpretive Letter
Interpretive Letter to Tom Fleming, Dealogic
February 17, 2004
Interpretive Letter
Interpretive Letter to Martin H. Kaplan, Esq., Gusrae, Kaplan & Bruno, PLLC
February 04, 2004
Report / Study
Report of the Omnibus Account Task Force
January 30, 2004
Guidance
Russell D. Sacks, Shearman & Sterling LLP
January 15, 2004
Interpretive Letter
Interpretive Letter to Yukako Kawata, Davis Polk & Wardwell
December 30, 2003
Interpretive Letter
Interpretive Letter to Dana Fleischman, Esq., Cleary, Gottlieb, Steen & Hamilton
November 24, 2003
Exemptive Letter
Name Not Public
November 11, 2003
Interpretive Letter
Interpretive Letter to Harold L. Gladney
November 07, 2003
Interpretive Letter
Interpretive Letter to Michael D. Udoff, Securities Industry Association
October 02, 2003
Interpretive Letter
Interpretive Letter to Sarah A. Bessin, Esq., Shearman & Sterling LLP
September 29, 2003
Guidance
Comparison of the AML Customer Identification Rule and the SEC’s Books & Records Customer Account Records Rule
September 01, 2003
Guidance
Status Report: Implementation of Recommendations of Joint NASD/Industry Breakpoint Task Force
July 22, 2003
Report / Study
Report of the Joint NASD/Industry Task Force on Breakpoints
July 12, 2003
Interpretive Letter
Interpretive Letter to Mustafa Fazel, National Financial Services, LLC
July 11, 2003
Interpretive Letter
Interpretive Letter to Robert C. Hacker, Esq., Kirkpatrick & Lockhart, LLP
May 29, 2003
Report / Study
Report and Recommendations of the NYSE/NASD IPO Advisory Committee
May 29, 2003
About FINRA
2003 Global Settlement
May 21, 2003
Interpretive Letter
Interpretive Letter to James Hermann, William Blair & Company, LLC
May 19, 2003
FAQ
Frequently Asked Questions about the 2001 Amendments to Broker-Dealer Books and Records Rules Under the Securities Exchange Act of 1934
May 02, 2003
Guidance
Books and Records Requirements Checklist
May 02, 2003