Guidance Compliance ToolsGuidance for Ownership Changes and Asset TransfersAugust 24, 2016 Interpretive LetterLetter from FINRA Office of General Counsel, May 15, 2008May 15, 2008 NoticeRegulatory Notice 07-55November 14, 2007 Interpretive LetterInterpretive Letter to Tamara K. Salmon, Investment Company InstituteMarch 16, 2005 Interpretive LetterInterpretive Letter to George T. Simon, Foley & Lardner, LLPJanuary 26, 2005 Interpretive LetterInterpretive Letter to Barry Harris, Banc of America Investment Services, Inc. (Use of Negative Response Letters)October 20, 2004 Interpretive LetterInterpretive Letter to Michael D. Wolk, Esq., Foley and Lardner (Use of Negative Response Letters)May 01, 2003 Interpretive LetterInterpretive Letter to Marion A. Kashan, London Pacific Securities, Inc. (Use of Negative Response Letters)February 03, 2003 Interpretive LetterInterpretive Letter to Marc. A. Cohn, Metropolitan Life Insurance CompanyFebruary 03, 2003 Interpretive LetterInterpretive Letter to Doug Wright, The Investment Center, Inc. (Use of Negative Response Letters)February 03, 2003
