Guidance

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
Report / Study
Report and Recommendations of the NYSE/NASD IPO Advisory Committee
May 29, 2003
Interpretive Letter
Interpretive Letter to Robert C. Hacker, Esq., Kirkpatrick & Lockhart, LLP
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
Interpretive Letter
Interpretive Letter to Michael D. Wolk, Esq., Foley and Lardner (Use of Negative Response Letters)
May 01, 2003
Interpretive Letter
Interpretive Letter to Adam Zentner, Credit Suisse First Boston (Europe) Limited
April 03, 2003
Interpretive Letter
Interpretive Letter to Jess Haberman, royalblue financial corporation
April 02, 2003
Guidance
Improving Examination Results - April 2003
April 01, 2003
Interpretive Letter
Interpretive Letter to Alice Yau, J.P. Morgan Securities, Inc.
March 17, 2003
Regulatory and Compliance Alerts (RCA)
Regulatory & Compliance Alert - Spring 2003
March 01, 2003
Interpretive Letter
Interpretive Letter to Marilyn J. Sponzo, Jorden Burt
February 03, 2003
Interpretive Letter
Interpretive Letter to Pamela M. Krill, Esquire, Godfrey & Kahn, S.C.
February 03, 2003
Interpretive Letter
Interpretive Letter to Suart M. Strauss, Esq., Mayer, Brown, Rowe & Maw
February 03, 2003
Interpretive Letter
Interpretive Letter to Marc. A. Cohn, Metropolitan Life Insurance Company
February 03, 2003
Interpretive Letter
Interpretive Letter to Doug Wright, The Investment Center, Inc. (Use of Negative Response Letters)
February 03, 2003
Interpretive Letter
Interpretive Letter to Pamela M. Krill, Esquire, Godfrey & Kahn, S.C.
February 03, 2003
Interpretive Letter
Interpretive Letter to Marilyn A. Sponzo, Jordan Burt
February 03, 2003