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 |
Title![]() |
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 |