|
|
 |
|
Exemptive Letters
| The index below is organized by subject, and the letters are arranged with the most recent letters first. FINRA will periodically update this area with new letters.
Disclaimer: FINRA staff is publishing a number of letters and/or summaries of its letters responding to requests for exemption, to assist member firms, securities professionals, lawyers and others in understanding the rationale for staff decisions to grant or deny requests for exemptions. Bear in mind that the decisions apply to the specific situations described. FINRA has not attempted to publish letters covering every rule for which an exemption can be granted.
With respect to requests for exemptive relief under Municipal Securities Rulemaking Board (MSRB) Rule G-37, FINRA has provided links to Notices to Members that publish staff and NAC decisions in redacted form. FINRA's publication policy regarding decisions under MSRB Rule G-37 is found in Notice to Members 98-51.
| Best Execution and Interpositioning - NASD Rule 2320(g)(2) |
|
5/29/98
|
Submitted by Kenneth W. Perlman, Mayer & Schweitzer, Inc.
|
| |
| Corporate Financing Rule - NASD Rule 2710 |
|
6/4/04
|
Submitted by Marianne McKeon, Dewey Ballantine LLP
|
|
1/15/04
|
Submitted by Russell D. Sacks, Shearman & Sterling LLP
|
|
8/31/00
|
Submitted by Corporate Financing Department
|
|
4/7/00
|
Submitted by Laurie L. Green, Esq., Akerman, Senterfitt & Eidson
|
|
10/29/99
|
Name Not Public
|
| |
| Distribution of Securities of Members and Affiliates - NASD Rule 2720 |
|
8/11/00
|
Submitted by Corporate Financing Department
|
|
11/29/99
|
Submitted by Joseph D. Fashano, Credit Suisse First Boston Corporation
|
|
6/14/99
|
Submitted by Judith G.Belash, Esq., Goldman, Sachs & Co.
|
| |
| Restrictions on the Purchase and Sale of Initial Equity Public Offerings - NASD Rule 2790 |
|
11/9/06
|
Submitted by Marianne McKeon, Esq., Dewey Ballantine LLP
|
|
2/3/06
|
Submitted by Bruce E. Lee, Esq.
|
|
10/18/05
|
Submitted by Noel M. Gruber, Esq.
|
|
12/3/04
|
Submitted by Dana G. Fleischman, Esq., Cleary, Gottlieb, Steen & Hamilton
|
| |
| Fidelity Bonds - NASD Rule 3020 |
|
10/18/01
|
Submitted by William E. Floria, House of Securities Company
|
|
5/16/01
|
Submitted by John W. Marcus, PIBC Securities LLC
|
| |
| Short Sale Rule - NASD Rule 3350 |
|
6/11/03
|
Submitted by Andre E. Owens, Esq., Schiff Hardin & Waite
|
| |
| Short Sale Rule - NASD Rule 5100 |
|
4/3/07
|
Submitted by Louis J. Karcher, Pipeline Trading Systems LLC
|
| |
| Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37 |
|
10/16/06
|
Name Not Public
|
|
8/30/06
|
Name Not Public
|
|
5/17/06
|
Name Not Public
|
|
2/23/06
|
Name Not Public
|
|
10/11/05
|
Name Not Public
|
|
10/11/05
|
Name Not Public
|
|
9/22/05
|
Name Not Public
|
|
9/20/05
|
Name Not Public
|
|
5/25/05
|
Name Not Public
|
|
10/27/04
|
Name Not Public
|
|
8/23/04
|
Name Not Public
|
|
11/11/03
|
Name Not Public
|
|
1/7/03
|
Name Not Public
|
|
11/15/02
|
Name Not Public
|
|
9/30/02
|
Name Not Public
|
|
8/15/02
|
Name Not Public
|
|
6/27/02
|
Name Not Public
|
|
6/11/02
|
Name Not Public
|
|
5/15/02
|
Name Not Public
|
|
5/1/02
|
Name Not Public
|
|
1/29/02
|
Name Not Public
|
|
11/14/01
|
Name Not Public
|
|
8/8/01
|
Name Not Public
|
|
7/17/01
|
Name Not Public
|
|
12/18/00
|
Name Not Public
|
|
10/10/00
|
Name Not Public
|
|
6/30/00
|
Name Not Public
|
|
1/12/00
|
Name Not Public
|
|
12/2/97
|
Name Not Public
|
|
7/31/97
|
Name Not Public
|
|
5/20/97
|
Name Not Public
|
|
3/10/97
|
Name Not Public
|
|
2/28/97
|
Name Not Public
|
|
2/28/97
|
Name Not Public
|
|
2/28/97
|
Name Not Public
|
|
2/28/97
|
Name Not Public
|
|
1/27/97
|
Name Not Public
|
|
1/7/97
|
Name Not Public
|
|
5/13/96
|
Name Not Public
|
|
