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 29, 2002 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Oct 16, 2006 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
Aug 30, 2006 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
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
Dec 18, 2000 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Apr 3, 2009 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
Jun 10, 2010 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Jun 30, 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
Jan 12, 2000 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
Dec 2, 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
Jul 31, 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
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
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
Jan 15, 2004 Russell D. Sacks, Shearman & Sterling LLP Corporate Financing Rule - NASD Rule 2710
Jul 27, 2016 Thomas S. Vales, TMC Bonds L.L.C. Trade Reporting Obligation for Certain Transactions on an Alternative Trading System – FINRA Rule 6732

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