For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
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 |
|---|---|---|---|
| Jul 30, 1997 | Interpretive Letter to Webster E. Janssen, Janssen Financial Services | NASD Rule 3030 - Outside Business Activities of an Association Person | |
| Jul 03, 1997 | Interpretive Letter to Name Not Public | NASD IM-2110-2 - Trading Ahead of Customer Limit Order | |
| Jun 19, 1997 | Interpretive Letter to Bill T. Singer, Singer Zamansky LLP | NASD Rule 1030 Series - Registration of Representatives | Qualification Exams |
| Apr 16, 1997 | Interpretive Letter to Name Not Public | NASD IM-2110-2 - Trading Ahead of Customer Limit Order | |
| Apr 11, 1997 | Interpretive Letter to Name Not Public | NASD Rule 2420 - Dealing with Non-Members | Qualification Exams |
| Apr 11, 1997 | Interpretive Letter to Name Not Public | NASD Rule 3010 - Supervision | Variable Life Insurance Products, Advertising Regulation, Qualification Exams |
| Mar 04, 1997 | Interpretive Letter to Name Not Public | NASD Rule 2310 - Recommendations to Customers (Suitability) | Public Offerings, Suitability |
| Feb 21, 1997 | Interpretive Letter to Name Not Public | NASD Rule 11870 - Customer Account Transfer Contracts | Customer Account Transfers |
| Feb 19, 1997 | Interpretive Letter to Name Not Public | NASD Rule 1020 Series - Registration of Principals | Qualification Exams |
| Jan 23, 1997 | Interpretive Letter to Stuart J. Kaswell, SIA | NASD Rule 2310 - Recommendations to Customers (Suitability) | Public Offerings, Suitability |
| Jan 23, 1997 | Interpretive Letter to Paul Saltzman, PSA | NASD Rule 2310 - Recommendations to Customers (Suitability) | Public Offerings |
| Dec 23, 1996 | Interpretive Letter to Name Not Public | NASD IM-2420-2 - Continuing Commissions Policy | |
| Dec 16, 1996 | Interpretive Letter to Name Not Public | NASD Rule 3040 - Private Securities Transactions of an Associated Person | |
| Nov 20, 1996 | Interpretive Letter to Name Not Public | NASD IM-2420-2 - Continuing Commissions Policy | |
| Nov 15, 1996 | Interpretive Letter to Name Not Public | NASD Rule 2740 - Selling Concessions, Discounts, and Other Allowances | |
| Sep 18, 1996 | Interpretive Letter to Name Not Public | NASD Rule 3370 - Prompt Receipt and Delivery of Securities | |
| Aug 13, 1996 | Interpretive Letter to Name Not Public | NASD Rule 3010 - Supervision | Qualification Exams |
| Aug 09, 1996 | Interpretive Letter to Name Not Public | NASD Rule 3010 - Supervision | Qualification Exams |
| Jul 23, 1996 | Interpretive Letter to Name Not Public | NASD Rule 3040 - Private Securities Transactions of an Associated Person | |
| May 28, 1996 | Interpretive Letter to Name Not Public | NASD Rule 3070 - Reporting Requirements | |
| May 28, 1996 | Interpretive Letter to Name Not Public | NASD Rule 3070 - Reporting Requirements | |
| May 02, 1996 | Interpretive Letter to Name Not Public | NASD Rule 2440 - Fair Prices and Commissions | |
| Nov 27, 1995 | Interpretive Letter to Name Not Public | NASD Rule 1020 Series - Registration of Principals | Qualification Exams |
| Oct 31, 1995 | Interpretive Letter to Name Not Public | NASD Rule 3110 - Books and Records | Advertising Regulation |
| Jul 26, 1995 | Interpretive Letter to Richard Lewandowski, The Options Exchange | NASD Rule 3370 - Prompt Receipt and Delivery of Securities |