Exemptive Letters

FINRA publishes letters or summaries of its letters in response to requests for exemption. We do this to assist industry professionals in understanding the rationale for our decisions. Please note 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.

Date Title Topicsort descending
May 29, 1998 Kenneth W. Perlman, Mayer & Schweitzer, Inc. Best Execution and Interpositioning - NASD Rule 2320(g)(2)
Jan 15, 2004 Russell D. Sacks, Shearman & Sterling LLP Corporate Financing Rule - NASD Rule 2710
Aug 31, 2000 Corporate Financing Department Corporate Financing Rule - NASD Rule 2710
Apr 7, 2000 Laurie L. Green, Esq., Akerman, Senterfitt & Eidson Corporate Financing Rule - NASD Rule 2710
Oct 29, 1999 Name Not Public 10/29/99 Corporate Financing Rule - NASD Rule 2710
Jun 4, 2004 Marianne McKeon, Dewey Ballantine LLP Corporate Financing Rule - NASD Rule 2710
Aug 11, 2000 Corporate Financing Department Distribution of Securities of Members and Affiliates - NASD Rule 2720
Nov 29, 1999 Joseph D. Fashano, Credit Suisse First Boston Corporation Distribution of Securities of Members and Affiliates - NASD Rule 2720
Jun 14, 1999 Judith G. Belash, Esq., Goldman, Sachs & Co. Distribution of Securities of Members and Affiliates - NASD Rule 2720
Oct 18, 2001 William E. Floria, House of Securities Company Fidelity Bonds - NASD Rule 3020
May 16, 2001 John W. Marcus, PIBC Securities LLC Fidelity Bonds - NASD Rule 3020
Aug 23, 2004 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Nov 11, 2003 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
May 25, 2005 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Jan 7, 2003 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Nov 15, 2002 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Feb 9, 2017 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Sep 30, 2002 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Jun 1, 2016 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Sep 20, 2005 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Aug 15, 2002 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Sep 22, 2005 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Jun 27, 2002 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Oct 11, 2005 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Jun 11, 2002 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37

Pages