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 |