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