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 27, 1997 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
May 13, 1996 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37

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