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
Aug 15, 2002 Name Not Public Municipal Securities
Jun 27, 2002 Name Not Public Municipal Securities
Jun 11, 2002 Name Not Public Municipal Securities
May 15, 2002 Name Not Public Municipal Securities
May 01, 2002 Name Not Public Municipal Securities
Jan 29, 2002 Name Not Public Municipal Securities
Nov 14, 2001 Name Not Public Municipal Securities
Oct 18, 2001 William E. Floria, House of Securities Company
Aug 08, 2001 Name Not Public Municipal Securities
Jul 17, 2001 Name Not Public Municipal Securities
May 16, 2001 John W. Marcus, PIBC Securities LLC
Dec 18, 2000 Name Not Public Municipal Securities
Oct 10, 2000 Name Not Public Municipal Securities
Aug 31, 2000 Exemptive Letter regarding Rule 2710, Issued by the Corporate Financing Department Corporate Financing, Public Offerings
Aug 11, 2000 Exemptive Letter regarding Rule 2710, Issued by the Corporate Financing Department Corporate Financing, Public Offerings
Jun 30, 2000 Name Not Public Municipal Securities
Apr 07, 2000 Laurie L. Green, Esq., Akerman, Senterfitt & Eidson Public Offerings
Jan 12, 2000 Name Not Public Municipal Securities
Nov 29, 1999 Joseph D. Fashano, Credit Suisse First Boston Corporation Public Offerings
Oct 29, 1999 Name Not Public 10/29/99 Public Offerings
Jun 14, 1999 Judith G. Belash, Esq., Goldman, Sachs & Co. Public Offerings
May 29, 1998 Kenneth W. Perlman, Mayer & Schweitzer, Inc.
Dec 02, 1997 Name Not Public Municipal Securities
Jul 31, 1997 Name Not Public Municipal Securities
May 20, 1997 Name Not Public Municipal Securities