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 |
|---|---|---|
| Jun 10, 2009 | Name Not Public | Municipal Securities |
| Apr 03, 2009 | Name Not Public | Municipal Securities |
| Jun 29, 2007 | Name Not Public | Municipal Securities |
| Apr 03, 2007 | Louis J. Karcher, Pipeline Trading Systems LLC | |
| Nov 09, 2006 | Marianne McKeon, Esq., Dewey Ballantine LLP | |
| Oct 16, 2006 | Name Not Public | Municipal Securities |
| Aug 30, 2006 | Name Not Public | Municipal Securities |
| May 17, 2006 | Name Not Public | Municipal Securities |
| Feb 23, 2006 | Name Not Public | Municipal Securities |
| Feb 03, 2006 | Bruce E. Lee, Esq. | |
| Oct 18, 2005 | Noel M. Gruber, Esq. | |
| Oct 11, 2005 | Name Not Public | Municipal Securities |
| Oct 11, 2005 | Name Not Public | Municipal Securities |
| Sep 22, 2005 | Name Not Public | Municipal Securities |
| Sep 20, 2005 | Name Not Public | Municipal Securities |
| May 25, 2005 | Name Not Public | Municipal Securities |
| Dec 03, 2004 | Dana G. Fleischman, Esq., Cleary, Gottlieb, Steen & Hamilton | |
| Oct 27, 2004 | Name Not Public | Municipal Securities |
| Aug 23, 2004 | Name Not Public | Municipal Securities |
| Jun 04, 2004 | Marianne McKeon, Dewey Ballantine LLP | Public Offerings |
| Jan 15, 2004 | Russell D. Sacks, Shearman & Sterling LLP | Public Offerings |
| Nov 11, 2003 | Name Not Public | Municipal Securities |
| Jan 07, 2003 | Name Not Public | Municipal Securities |
| Nov 15, 2002 | Name Not Public | Municipal Securities |
| Sep 30, 2002 | Name Not Public | Municipal Securities |