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, 2014 Venu Palaparthi, NPM Securities LLC Trade Reporting Obligation for Certain Alternative Trading Systems – FINRA Rules 6183, 6625 and 6731
Oct 18, 2001 William E. Floria, House of Securities Company Fidelity Bonds - NASD Rule 3020
Jun 9, 2016 William Vulpis, KCG BondPoint Trade Reporting Obligation for Certain Transactions on an Alternative Trading System – FINRA Rule 6732