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.

Datesort descending Title Topic
May 13, 1996 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Jan 7, 1997 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Jan 27, 1997 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Feb 28, 1997 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Feb 28, 1997 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Feb 28, 1997 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Feb 28, 1997 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Mar 9, 1997 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
May 20, 1997 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Jul 31, 1997 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Dec 2, 1997 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
May 29, 1998 Kenneth W. Perlman, Mayer & Schweitzer, Inc. Best Execution and Interpositioning - NASD Rule 2320(g)(2)
Jun 14, 1999 Judith G. Belash, Esq., Goldman, Sachs & Co. Distribution of Securities of Members and Affiliates - NASD Rule 2720
Oct 29, 1999 Name Not Public 10/29/99 Corporate Financing Rule - NASD Rule 2710
Nov 29, 1999 Joseph D. Fashano, Credit Suisse First Boston Corporation Distribution of Securities of Members and Affiliates - NASD Rule 2720
Jan 12, 2000 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Apr 7, 2000 Laurie L. Green, Esq., Akerman, Senterfitt & Eidson Corporate Financing Rule - NASD Rule 2710
Jun 30, 2000 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Aug 11, 2000 Corporate Financing Department Distribution of Securities of Members and Affiliates - NASD Rule 2720
Aug 31, 2000 Corporate Financing Department Corporate Financing Rule - NASD Rule 2710
Oct 10, 2000 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Dec 18, 2000 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
May 16, 2001 John W. Marcus, PIBC Securities LLC Fidelity Bonds - NASD Rule 3020
Jul 17, 2001 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Aug 8, 2001 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37

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