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
Jan 29, 2002 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Nov 14, 2001 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Oct 18, 2001 William E. Floria, House of Securities Company Fidelity Bonds - NASD Rule 3020
Aug 8, 2001 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Jul 17, 2001 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
Dec 18, 2000 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Oct 10, 2000 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Aug 31, 2000 Corporate Financing Department Corporate Financing Rule - NASD Rule 2710
Aug 11, 2000 Corporate Financing Department Distribution of Securities of Members and Affiliates - NASD Rule 2720
Jun 30, 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
Jan 12, 2000 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Nov 29, 1999 Joseph D. Fashano, Credit Suisse First Boston Corporation 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
Jun 14, 1999 Judith G. Belash, Esq., Goldman, Sachs & Co. Distribution of Securities of Members and Affiliates - NASD Rule 2720
May 29, 1998 Kenneth W. Perlman, Mayer & Schweitzer, Inc. Best Execution and Interpositioning - NASD Rule 2320(g)(2)
Dec 2, 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
May 20, 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
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

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