Guidance FAQGifts/Business Entertainment/Non-Cash Compensation FAQsJuly 29, 2020 Report / StudyRetrospective Rule Review Report: Gifts, Gratuities and Non-Cash CompensationDecember 09, 2014 GuidanceInterpretive Letter to Amal Aly, SIFMA (Reasonable and Customary Bereavement Gifts)December 17, 2007 Report / StudyNASD Report on Examination Findings Regarding Gifts and GratuitiesDecember 04, 2006 GuidanceInterpretive Letter to Steven K. McGinnis, Loring Ward Securities, Inc.September 28, 2006 Interpretive LetterInterpretive Letter to Marilyn J. Sponzo, Jorden BurtFebruary 03, 2003 GuidanceInterpretive Letter to Philip J. Fina, Esq., Kirkpatrick & Lockhart LLPJune 18, 2001 GuidanceInterpretive Letter to Charles Wiegert, NFP SecuritiesMarch 15, 2001 GuidanceInterpretive Letter to Name Not PublicMarch 07, 2001 GuidanceInterpretive Letter to Eric A. Arnold, Esq., Sutherland Asbill & Brennan LLPOctober 12, 2000 GuidanceInterpretive Letter to Michael L. Kerley, Esq., MML Investors Services, Inc.April 03, 2000 GuidanceInterpretive Letter to Name Not PublicNovember 18, 1999 GuidanceInterpretive Letter to Robert L. Winston, American Funds Distributors, Inc.September 09, 1999 GuidanceInterpretive Letter to Henry H. Hopkins and Sarah McCafferty, T. Rowe Price Investment Services, Inc.June 10, 1999 GuidanceInterpretive Letter to Harley Whitfield, American Equity Capital, Inc.May 20, 1999 GuidanceInterpretive Letter to Robert B. Saginaw, Counsel, ReliaStar Financial Corp.March 31, 1999
