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9610. Application

(a) Where to File
A member seeking exemptive relief as permitted under NASD Rules 1021, 1050, 1070, 2340, 3010(b)(2), or 3150, or Rules 2114, 2110, 2310, 2359, 2360, 4210, 4311, 4320, 4360, 5110, 5121, 5122, 5123, 5130, 5131, 6183, 6625, 6731, 7470, 8211, 8213, 11870, or 11900, or Municipal Securities Rulemaking Board Rule G-37 shall file a written application with the appropriate department or staff of FINRA.
(b) Content
An application filed pursuant to this Rule shall contain the member's name and address, the name of a person associated with the member who will serve as the primary contact for the application, the Rule from which the member is seeking an exemption, and a detailed statement of the grounds for granting the exemption. If the member does not want the application or the decision on the application to be publicly available in whole or in part, the member also shall include in its application a detailed statement, including supporting facts, showing good cause for treating the application or decision as confidential in whole or in part.
(c) Applicant
A member that files an application under this Rule is referred to as "Applicant" hereinafter in the Rule 9600 Series.
Amended by SR-FINRA-2014-009 eff. Feb. 14, 2014.
Amended by SR-FINRA-2013-001 eff. Feb 4, 2013.
Amended by SR-FINRA-2011-052 eff. May 31, 2012.
Amended by SR-FINRA-2012-016 eff. Feb. 28, 2012.
Amended by SR-FINRA-2011-065 eff. Jan. 1, 2012.
Amended by SR-FINRA-2011-051 eff. Nov. 4, 2011.
Amended by SR-FINRA-2011-030 eff. Aug. 1, 2011.
Amended by SR-FINRA-2011-009 eff. Feb. 22, 2011.
Amended by SR-FINRA-2010-060 eff. Dec. 15, 2010.
Amended by SR-FINRA-2010-047 eff. Oct. 15, 2010.
Amended by SR-FINRA-2010-002 eff. Feb. 15, 2010.
Amended by SR-FINRA-2009-046 eff. Aug. 17, 2009.
Amended by SR-FINRA-2009-033 eff. June 15, 2009.
Amended by SR-FINRA-2009-005 eff. Feb. 17, 2009.
Amended by SR-FINRA-2008-057 eff. Dec. 15, 2008.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-FINRA-2007-013 eff. Oct. 15, 2007.
Amended by SR-NASD-2007-047 eff. July 6, 2007.
Amended by SR-NASD-2007-032 eff. May 10, 2007.
Amended by SR-NASD-2006-087 eff. Aug. 1, 2006.
Amended by SR-NASD-2005-087 eff. Aug. 1, 2006.
Amended by SR-NASD-2006-040 eff. July 10, 2006.
Amended by SR-NASD-2000-23 eff. July 10, 2006.
Amended by SR-NASD-2002-162 eff. Jan. 31, 2005.
Amended by SR-NASD-2004-100 eff. Sept. 1, 2004
Amended by SR-NASD-2004-020 eff. March 30, 2004.
Amended by SR-NASD-99-60 eff. March 23, 2004.
Amended by SR-NASD-99-04 eff. Oct. 30, 2002.
Amended by SR-NASD-2001-19 eff. Dec. 10, 2001.
Amended by SR-NASD-2000-77 eff. Sept. 17, 2001.
Amended by SR-NASD-98-57 eff. March 26, 1999.
Amended by SR-NASD-97-69 eff. August 17, 1998.
Amended by SR-NASD-97-81 eff. Jan. 16, 1998.
Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.

Selected Notices: 98-52, 99-16, 01-52, 02-66, 03-79, 04-59, 04-71, 07-31, 07-45, 08-57, 12-13.

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