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 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
Jun 11, 2002 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Nov 6, 2018 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
May 15, 2002 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
Feb 23, 2006 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
May 1, 2002 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
May 17, 2006 Name Not Public Political Contributions and Prohibitions on Municipal Securities Business - MSRB Rule G-37
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 16, 2006 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
Oct 29, 1999 Name Not Public 10/29/99 Corporate Financing Rule - NASD Rule 2710

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