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 |