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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
Mar 09, 1997 Name Not Public Municipal Securities
Feb 28, 1997 Name Not Public Municipal Securities
Feb 28, 1997 Name Not Public Municipal Securities
Feb 28, 1997 Name Not Public Municipal Securities
Feb 28, 1997 Name Not Public Municipal Securities
Jan 27, 1997 Name Not Public Municipal Securities
Jan 07, 1997 Name Not Public Municipal Securities
May 13, 1996 Name Not Public Municipal Securities