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 ascending Title Topic
Oct 16, 2006 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Aug 30, 2006 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
May 17, 2006 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Feb 23, 2006 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Feb 3, 2006 Bruce E. Lee, Esq. Restrictions on the Purchase and Sale of Initial Equity Public Offerings - NASD Rule 2790
Oct 18, 2005 Noel M. Gruber, Esq. Restrictions on the Purchase and Sale of Initial Equity Public Offerings - NASD Rule 2790
Oct 11, 2005 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
Sep 22, 2005 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
May 25, 2005 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Dec 3, 2004 Dana G. Fleischman, Esq., Cleary, Gottlieb, Steen & Hamilton Restrictions on the Purchase and Sale of Initial Equity Public Offerings - NASD Rule 2790
Oct 27, 2004 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Aug 23, 2004 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Jun 4, 2004 Marianne McKeon, Dewey Ballantine LLP Corporate Financing Rule - NASD Rule 2710
Jan 15, 2004 Russell D. Sacks, Shearman & Sterling LLP Corporate Financing Rule - NASD Rule 2710
Nov 11, 2003 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
Sep 30, 2002 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
Jun 27, 2002 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
May 15, 2002 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
May 1, 2002 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37

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