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
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
May 21, 2015 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
Jan 7, 1997 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
May 13, 1996 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
Jan 4, 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
Aug 23, 2004 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
May 25, 2005 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
Feb 9, 2017 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
Jun 1, 2016 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
Aug 15, 2002 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
Jun 27, 2002 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
Oct 29, 1999 Name Not Public 10/29/99 Corporate Financing Rule - NASD Rule 2710
Oct 18, 2005 Noel M. Gruber, Esq. Restrictions on the Purchase and Sale of Initial Equity Public Offerings - NASD Rule 2790

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