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.
|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|
|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|