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
Feb 08, 2024 Alan Reed, OpenYield Trading LLC TRACE ATS Reporting
Sep 21, 2022 Jeffrey Eileen, ICE Bonds Securities Corporation TRACE ATS Reporting
Nov 09, 2021 Name Not Public Municipal Securities
Oct 21, 2020 Name Not Public Municipal Securities
Nov 06, 2018 Name Not Public Municipal Securities
Oct 01, 2018 Mr. Patrick Basilice, Chief Compliance Officer, Euronext Synapse LLC
Apr 16, 2018 Amy Natterson Kroll, Morgan, Lewis & Bockius LLP
Feb 09, 2017 Name Not Public Municipal Securities
Aug 09, 2016 Joshua Hershman, Trumid Financial LLC TRACE ATS Reporting
Jun 01, 2016 Name Not Public Municipal Securities
May 16, 2016 Michael McGuire, Tradeweb Direct LLC TRACE ATS Reporting
Jan 28, 2016 Name Not Public Municipal Securities
Jan 04, 2016 Name Not Public Municipal Securities
Dec 14, 2015 Name Not Public Municipal Securities
Jul 23, 2015 Amy Natterson Kroll, Morgan, Lewis & Bockius LLP Initial Public Offering (IPO)
May 21, 2015 Name Not Public Municipal Securities
May 05, 2015 Kevin O’Connor, Picard Kentz & Rowe LLP
Feb 11, 2015 Name Not Public Municipal Securities
Jan 07, 2014 Venu Palaparthi, NPM Securities LLC
Nov 02, 2012 Christopher M. Wells, Proskauer Rose LLP
Mar 01, 2012 Michael R. Modeski, OTC Link LLC
Jun 27, 2011 Name Not Public Municipal Securities
Dec 07, 2010 Edward A. Kwalwasser, Proskauer Rose LLP Initial Public Offering (IPO)
Sep 07, 2010 Name Not Public Municipal Securities
Jun 10, 2010 Name Not Public Municipal Securities