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 Titlesort descending Topic
Jan 12, 2000 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Jun 29, 2007 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
Jun 10, 2009 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
Sep 7, 2010 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
Jun 27, 2011 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 11, 2015 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
Jan 27, 1997 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
May 21, 2015 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
Dec 14, 2015 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Jan 28, 2016 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Oct 27, 2004 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Jan 4, 2016 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
May 25, 2005 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

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