Exchange Act Exemptive Notices and Orders

Release Number SEC Issue Date File Number Details
34-81364 SR-BYX-2012-019 Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program
File No.: SR-BYX-2012-019
Federal Register version (82 FR 38733)
34-80860 SR-NYSEARCA-2013-107 Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Liquidity Program Until December 31, 2017
File No.: SR-NYSEARCA-2013-107
Federal Register version (82 FR 26823)
See Also - Incoming Letter
34-80861 SR-NYSE-2011-55 Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchanges' Retail Liquidity Programs Until December 31, 2017
File No.: SR-NYSE-2011-55
Federal Register version (82 FR 26819)
See Also - Incoming Letter, 34-82228.pdf
34-80567 TP-17-08 Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Alpha Architect Value Momentum Trend ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP-17-08
Federal Register version (82 FR 21280)
See Also - Incoming Letter
34-80536 Order Granting Application by New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc., and NYSE National, Inc., Respectively, for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act From Certain Requirements of Rule 6a-2 Under the Exchange Act
Federal Register version (82 FR 20671)
34-80378 S7-03-14 Order Granting a Temporary Exemption to Covered Clearing Agencies From Compliance With Rule 17Ad-22(e)(3)(ii) and Certain Requirements in Rules 17Ad-22(e)(15)(i) and (ii) Under the Securities Exchange Act of 1934
File No.: S7-03-14
Federal Register version (82 FR 17300)
34-80359 Order Extending a Temporary Exemption From Compliance With Rules 13n-1 to 13n-12 Under the Securities Exchange Act of 1934
Federal Register version (82 FR 16867)
34-80338 Order Granting Application by MIAX PEARL, LLC for an Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference
Federal Register version (82 FR 16464)
34-80339 Order Granting Application by C2 Options Exchange, Incorporated for an Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference
Federal Register version (82 FR 16442)
34-80142 Order Granting Limited Exemptive Relief, Pursuant to Rule 608(e) of the Securities Exchange Act of 1934, From the Clock Synchronization Compliance Deadline Specified in Section 6.7(a)(ii) of the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (82 FR 13034)
34-80052 TP-17-03 Order Granting Limited Exemptions from Rule 102 of Regulation M Relating To NPM Securities, LLC's Alternatives Platform
File No.: TP-17-03
See Also - Incoming Letter
34-80042 TP-17-04 Order Granting Limited Conditional Exemption From Rule 200(c) Of Regulation SHO to Magnitude Special Investments Portfolio Fund, Ltd.
File No.: TP-17-04
See Also - Incoming Letter
34-80010 TP-17-06 Order Granting Limited Temporary Exemption from Exchange Act Section 12(j)
File No.: TP-17-06
See Also - Incoming Letter
34-79833 S7-27-11 Order Extending Certain Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With the Revision of the Definition of "Security" To Encompass Security-Based Swaps and Request for Comment
File No.: S7-27-11
View Received Comments
Federal Register version (82 FR 8467)
See Also - 34-71485.pdf, 34-68864.pdf, 34-64795.pdf
Submit a Comment on S7-27-11
34-79360 TP-16-16 Order Granting Limited Exemption From Exchange Act Rule 15c2-11 to Certain Interdealer Quotation Systems Pursuant to Exchange Act Rule 15c2-11(h)
File No.: TP-16-16
Federal Register version (81 FR 85657)
See Also - Incoming Letter
34-79200 Order Granting a Limited Exemption From Rule 102 of Regulation M Concerning NASDAQ Stock Market LLC's New Product Support Incentives Pursuant to Regulation M Rule 102(e)
Federal Register version (81 FR 76975)
34-79159 TP-16-14 Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Premise Capital Frontier Advantage Diversified Tactical ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP-16-14
Federal Register version (81 FR 75865)
See Also - Incoming Letter
34-78975 Order Extending a Temporary Exemption From Compliance With Rules 13n-1 to 13n-12 Under the Securities Exchange Act of 1934
Federal Register version (81 FR 69122)
34-78882 TP-16-13 Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Amplify YieldShares Prime 5 Dividend ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP-16-13
Federal Register version (81 FR 66109)
See Also - Incoming Letter
34-78677 SR-NYSEARCA-2013-107 Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Liquidity Program Until December 31, 2016
File No.: SR-NYSEARCA-2013-107
Federal Register version (81 FR 60037)
34-78678 SR-NYSE-2011-55 Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchanges' Retail Liquidity Programs Until December 31, 2016
File No.: SR-NYSE-2011-55
Federal Register version (81 FR 60031)
34-78670 Order Granting Conditional Exemption of Morningstar Credit Ratings, LLC from a Requirement in Section 15E(a)(1)(C)(iv) of the Securities Exchange Act of 1934 and Item 6C of Form NRSRO
34-78417 Order Granting Application of Investors' Exchange LLC for a Limited Exemption from Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f)
Federal Register version (81 FR 50035)
See Also - related no-action letter and incoming letter
34-78332 TP-16-10 Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Janus Detroit Street Trust, the Janus Velocity Tail Risk Hedged Large Cap ETF, and the Janus Velocity Volatility Hedged Large Cap ETF
File No.: TP-16-10
Federal Register version (81 FR 47193)
See Also - Incoming Letter
34-78311 TP-16-9 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to PowerShares DWA Momentum & Low Volatility Rotation Portfolio Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP-16-9
Federal Register version (81 FR 46988)
See Also - Incoming Letter
34-78215A Corrected Order Extending a Temporary Exemption From Compliance With Rules 13n-1 to 13n-12 Under the Securities Exchange Act of 1934
Federal Register version (81 FR 45336)
34-78195 TP-15-18 Order Granting Bank of Montreal, Vaulted Gold Bullion Trust, BMO Capital Markets, and Certain Broker-Dealers, a Limited Exemption from Rules 101(a) and 102(a) of Regulation M Pursuant to Rules 101(d) and 102(e) of Regulation M
File No.: TP-15-18
See Also - Incoming Letter
34-78178 SR-BYX-2012-019 BATS BYX-Exchange, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program
File No.: SR-BYX-2012-019
Federal Register version (81 FR 43689)
34-78041 Order Granting Limited and Conditional Exemption Under Section 36(a) of the Securities Exchange Act of 1934 From Compliance With Interactive Data File Exhibit Requirement in Forms 6-K, 8-K, 10-Q, 10-K, 20-F and 40-F To Facilitate Inline Filing of Tagged Financial Data
Federal Register version (81 FR 39741)
See Also - EDGAR Filer Manual
34-77942 TP-16-8 Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to SPDR Series Trust and SPDR Dorsey Wright Fixed Income Allocation ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP-16-8
Federal Register version (81 FR 35423)
See Also - Incoming Letter
34-77779 TP-16-06 Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to IndexIQ ETF Trust, IQ Enhanced Core Bond U.S. ETF, IQ Enhanced Core Plus Bond U.S. ETF, IQ Leaders Bond Allocation Tracker ETF, and IQ Leaders GTAA Tracker ETF, Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP-16-06
Federal Register version (81 FR 29588)
See Also - Incoming Letter
34-77474 TP-16-7 Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to J.P. Morgan Exchange-Traded Fund Trust, JPMorgan Diversified Return International Currency Hedged ETF, and JPMorgan Diversified Return Europe Currency Hedged ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP-16-7
Federal Register version (81 FR 19695)
See Also - Incoming Letter
34-77437 SR-NYSEARCA-2013-107 Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Liquidity Program Until August 31, 2016
File No.: SR-NYSEARCA-2013-107
Federal Register version (81 FR 17752)
34-77438 SR-NYSE-2011-55 New York Stock Exchange LLC; NYSE MKT LLC; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchanges' Retail Liquidity Programs Until August 31, 2016
File No.: SR-NYSE-2011-55
Federal Register version (81 FR 17752)
34-77400 Order Granting a Temporary Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 From Compliance With Rules 13n-1 to 13n-12 Under the Securities Exchange Act of 1934
Federal Register version (81 FR 15599)
34-77380 TP-16-5 Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to First Trust Dorsey Wright Dynamic Focus 5 ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP-16-5
Federal Register version (81 FR 15382)
See Also - Incoming Letter
34-77328 TP-16-4 Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to PowerShares DWA Tactical Multi-Asset Income Portfolio Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP-16-4
Federal Register version (81 FR 13855)
See Also - Incoming Letter
34-77265 Order Granting Exemptions From Certain Provisions of Rule 613 Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934
Federal Register version (81 FR 11856)
See Also - Incoming Letter
34-77240 TP-15-06 Order Granting Limited Exemptions From Exchange Act Section 11(d), Exchange Act Rules 10b-10, 10b-17, and 11d1-2, and Rules 101 and 102 of Regulation M to Eaton Vance ETMF Trust, Eaton Vance NextShares Trust II, Eaton Vance Balanced NextShares, and Other Exchange-Traded Managed Funds Pursuant to Exchange Act Section 36, Exchange Act Rules 10b-10(f) and 10b-17(b)(2), and Rules 101(d) and 102(e) of Regulation M
File No.: TP-15-06
Federal Register version (81 FR 10939)
See Also - Incoming Letter
34-77173 TP-15-15 Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to WisdomTree Put Write Strategy Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP-15-15
Federal Register version (81 FR 9231)
See Also - Incoming Letter
34-76953 SR-BYX-2012-019 BATS Y-Exchange, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program
File No.: SR-BYX-2012-019
Federal Register version (81 FR 4728)
See Also - Release Nos. 34-67734, 34-68049, 34-71250.pdf
34-76766 Order Granting Temporary, Limited, and Conditional Exemption of Morningstar Credit Ratings, LLC from the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934
34-76514 600-33 Bloomberg STP LLC; SS&C Technologies, Inc.; Order of the Commission Approving Applications for an Exemption From Registration as a Clearing Agency
File No.: 600-33
Federal Register version (80 FR 75387)
34-76494 TP-16-3 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to FlexShares® Trust and FlexShares® Real Assets Allocation Index Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP-16-3
See Also - Incoming Letter
34-76495 SR-BX-2014-048 Order Granting an Extension To Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program Until December 1, 2016
File No.: SR-BX-2014-048
Federal Register version (80 FR 74185)
34-76480 S7-08-14 Order Granting a Conditional Exemption Under the Securities Exchange Act of 1934 From the Confirmation Requirements of Exchange Act Rule 10b-10(a) for Certain Transactions in Money Market Funds
File No.: S7-08-14
Federal Register version (80 FR 73849)
34-76397 TP-16-1 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to FlexShares Trust, FlexShares® Currency Hedged Morningstar DM ex-US Factor Tilt Index Fund, and FlexShares® Currency Hedged Morningstar EM Factor Tilt Index Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP-16-1
See Also - Incoming Letter
34-76382 4-657 Order Granting Exemption From Compliance With the National Market System Plan To Implement a Tick Size Pilot Program
File No.: 4-657
Federal Register version (80 FR 70284)
34-76322 4-657 Order Exempting Certain Large Traders From the Self-Identification Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934, and Exempting Certain Broker-Dealers From the Recordkeeping, Reporting, and Monitoring Responsibilities Under the Rule
File No.: 4-657
Federal Register version (80 FR 68590)
34-76193 TP-15-13 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to DBX ETF Trust and Deutsche X-trackers CSI 300 China A-Shares Hedged Equity ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP-15-13
See Also - Incoming Letter
34-76183 S7-04-09 Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5(A)(3) Under the Securities Exchange Act of 1934 and Request for Comment
File No.: S7-04-09
View Received Comments
Federal Register version (80 FR 64031)
Submit a Comment on S7-04-09
34-76129 Order Granting Temporary, Limited, and Conditional Exemption of Kroll Bond Rating Agency, Inc. from the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934
34-76117 TP-15-19 Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to PowerShares DWA Tactical Sector Rotation Portfolio Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP-15-19
Federal Register version (80 FR 62576)
See Also - Incoming Letter
34-76020 SR-NYSE-2011-55 Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchanges' Retail Liquidity Programs Until March 31, 2016
File No.: SR-NYSE-2011-55
Federal Register version (80 FR 60201)
See Also - Incoming Letter
34-76021 SR-NYSEARCA-2013-107 Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Liquidity Program Until March 31, 2016
File No.: SR-NYSEARCA-2013-107
Federal Register version (80 FR 60207)
See Also - Incoming Letter
34-75919 Order Pursuant to Sections 15F(b)(6) and 36 of the Securities Exchange Act of 1934 Extending Certain Temporary Exemptions and a Temporary and Limited Exception Related to Security-Based Swaps
Federal Register version (80 FR 56519)
34-75803 TP-15-14 Order Granting Greenbacker Renewable Energy Company LLC a Limited Exemption
File No.: TP-15-14
Federal Register version (80 FR 53905)
See Also - Incoming Letter
34-75747 Order Granting Temporary Conditional Exemption for Japan Credit Rating Agency, Ltd. from Certain Requirements of Section 15E(t) of the Securities Exchange Act of 1934
34-74609 SR-NYSEARCA-2013-107 Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Liquidity Program Until September 30, 2015
File No.: SR-NYSEARCA-2013-107
Federal Register version (80 FR 18272)
See Also - Incoming Letter
34-74507 SR-NYSE-2011-55 Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchanges' Retail Liquidity Programs Until September 30, 2015
File No.: SR-NYSE-2011-55
Federal Register version (80 FR 14421)
See Also - Incoming Letter
34-74348 TP-14-02 Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to AccuShares S&P GSCI Spot Fund, AccuShares S&P GSCI Agriculture and Livestock Spot Fund, AccuShares S&P GSCI Industrial Metals Spot Fund, AccuShares S&P GSCI Crude Oil Spot Fund, AccuShares S&P GSCI Brent Oil Spot Fund, AccuShares S&P GSCI Natural Gas Spot Fund, and AccuShares Spot CBOE VIX Fund, Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP-14-02
Federal Register version (80 FR 10524)
See Also - Incoming Letter
34-73702 SR-BX-2014-048 NASDAQ OMX BX, Inc.; Order Granting Approval to Proposed Rule Change To Establish the Retail Price Improvement Program on a Pilot Basis Expiring Twelve Months From the Date of Implementation
File No.: SR-BX-2014-048
Federal Register version (79 FR 72049)
See Also - Incoming Letter
34-73702 SR-BX-2014-048 NASDAQ OMX BX, Inc.; Order Granting Approval to Proposed Rule Change To Establish the Retail Price Improvement Program on a Pilot Basis Expiring Twelve Months From the Date of Implementation
File No.: SR-BX-2014-048
Federal Register version (79 FR 72049)
See Also - Incoming Letter
34-73398 TP-15-02 Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Global X JP Morgan Efficiente Index and Global X JP Morgan US Sector Rotator Index ETFs Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP-15-02
Federal Register version (79 FR 63997)
See Also - Incoming Letter
34-73298 TP-14-13 Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ProShares Morningstar Alternatives Solution ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP-14-13
Federal Register version (79 FR 61115)
See Also - Incoming Letter
34-73180 SR-NASDAQ-2012-129 Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program Until December 31, 2014
File No.: SR-NASDAQ-2012-129
Federal Register version (79 FR 58004)
See Also - Incoming Letter
34-72917 TP-14-14 Order Granting a Limited Exemption From Rule 102(a) of Regulation M to Jones Lang LaSalle Income Property Trust Pursuant to Rule 102(e) of Regulation M
File No.: TP-14-14
Federal Register version (79 FR 52076)
See Also - Incoming Letter
34-72732 SR-NYSE-2011-55 Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs Until March 31, 2015
File No.: SR-NYSE-2011-55
Federal Register version (79 FR 45851)
See Also - Incoming Letter
34-72693 Order Granting a Limited Exemption From Rule 102 of Regulation M Concerning the BATS Exchange, Inc.'s Pilot Supplemental Competitive Liquidity Provider Program
Federal Register version (79 FR 44875)
34-72658 S7-08-14 Notice of Proposed Exemptive Order Granting Permanent Exemptions Under the Securities Exchange Act of 1934 From the Confirmation Requirements of Exchange Act Rule 10b-10 for Certain Money Market Funds
File No.: S7-08-14
Comments Due: August 20, 2014
Comments Due: August 20, 2014
View Received Comments
Federal Register version (79 FR 44076)
Submit a Comment on S7-08-14
34-72650 Order Granting Applications by NASDAQ OMX BX, Inc. and the NASDAQ Stock Market LLC for Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference
Federal Register version (79 FR 44075)
34-72655 TP-14-12 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to First Trust Dorsey Wright International Focus 5 ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP-14-12
Federal Register version (79 FR 43799)
See Also - Incoming Letter
34-71827 SR-NASDAQ-2012-129 Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program
File No.: SR-NASDAQ-2012-129
Federal Register version (79 FR 18601)
See Also - Incoming Letter
34-71805 Order Granting a Limited Exemption From Rule 102 of Regulation M Concerning the NYSE Arca, Inc.'s Crowd Participant Program Pilot
Federal Register version (79 FR 18365)
See Also - SRO Order 34-71804
34-71652 TP-14-05 Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to First Trust Dorsey Wright Focus Five ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP-14-05
Federal Register version (79 FR 13691)
See Also - Incoming Letter
34-71485 S7-27-11 Order Extending Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With the Revision of the Definition of "Security" To Encompass Security-Based Swaps, and Request for Comment
File No.: S7-27-11
View Received Comments
Federal Register version (79 FR 9028)
See Also - 34-79833.pdf, 34-68864.pdf, 34-64795.pdf
Submit a Comment on S7-27-11
34-71250 SR-BYX-2012-019 Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program
File No.: SR-BYX-2012-019
Federal Register version (79 FR 2234)
See Also - Incoming Letter
34-71250 SR-BYX-2012-019 Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program
File No.: SR-BYX-2012-019
Federal Register version (79 FR 2234)
See Also - Incoming Letter
34-71219 Order Granting Temporary Exemption of Morningstar Credit Ratings, LLC from the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934
See Also - Incoming Letters
34-71220 Order Granting Temporary Exemption of Kroll Bond Rating Agency, Inc. from the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934
See Also - Incoming Letters
34-71142 TP-14-03 Order Granting a Limited Exemption From Rule 102(a) of Regulation M to Certain Business Development Companies Pursuant to Rule 102(e) of Regulation M
File No.: TP-14-03
Federal Register version (78 FR 78424)
See Also - Incoming Letter
34-71143 Order Granting Application by Financial Industry Regulatory Authority, Inc. for Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference
Federal Register version (78 FR 78422)
See Also - Incoming Letter
34-71018 Order Granting a Temporary Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 From the Filing Deadline Specified in Rule 613(a)(1) of the Exchange Act
Federal Register version (78 FR 75669)
See Also - Incoming Letter
34-70919 S7-04-09 Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment
File No.: S7-04-09
View Received Comments
Federal Register version (78 FR 70984)
Submit a Comment on S7-04-09
34-70701 Order Providing Broker-Dealers a Temporary Exemption From the Requirements of Certain New Amendments to the Financial Responsibility Rules for Broker-Dealers Under the Securities Exchange Act of 1934
Federal Register version (78 FR 62930)
34-70349 Order Exempting Broker-Dealers Participating in the Proposed Global Offering of Meridian Energy Limited From the Arranging Prohibitions of Section 11(d)(1) of the Exchange Act
Federal Register version (78 FR 68107)
See Also - Incoming Letter
34-70303 Order Exempting Broker-Dealers Participating in NYSE Arca, Inc.'s Lead Market Maker Incentive Program From Section 11(d)(1) of the Securities Exchange Act of 1934 and Rule 11d1-2 Thereunder
Federal Register version (78 FR 55126)
See Also - Incoming Letter
34-70150 Order Temporarily Exempting Certain Broker-Dealers and Certain Transactions From the Recordkeeping and Reporting Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934
Federal Register version (78 FR 49556)
34-70085 SR-NYSE-2011-55 Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs
File No.: SR-NYSE-2011-55
Federal Register version (78 FR 47807)
See Also - Incoming Letter
34-69892 Order Exempting Market Makers Participating in NASDAQ Stock Market LLC's Market Quality Program From Section 11(d)(1) of the Securities Exchange Act of 1934 and Rule 11d1-2 Thereunder
Federal Register version (78 FR 40523)
See Also - Incoming Letter
34-69872 Order Pursuant to Section 17A of the Securities Exchange Act of 1934 Granting Exemption From the Clearing Agency Registration Requirement Under Section 17A(b) of the Exchange Act for ICE Clear Europe Limited in Connection With Its Proposal To Clear Contracts Traded on the LIFFE Administration and Management Market
Federal Register version (78 FR 40220)
See Also - Rel. No. 34-69888, Form CA-1, Form CA-1 Schedule A, Form CA-1 Exhibits, Form CA-1 Annex E Amended Articles of Association, Form CA-1 Annex F Extract of Form 10-K, Form CA-1 Annex S Exemption Request Letter
34-69831 TP-13-03 Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ALPS ETF Trust, the VelocityShares Tail Risk Hedged Large Cap ETF, and the VelocityShares Volatility Hedged Large Cap ETF
File No.: TP-13-03
Federal Register version (78 FR 38741)
See Also - Incoming Letter
34-69707 Order Granting a Limited Exemption from Rule 102 of Regulation M Concerning the NYSE Arca, Inc.'s Exchange Traded Product Incentive Program Pilot Pursuant to Regulation M Rule 102(e)
Federal Register version (78 FR 35330)
See Also - 34-69706
34-69477 81-939 Notice of an Application of W2007 Grace Acquisition I, Inc. Under Section 12(h) of the Securities Exchange Act of 1934
File No.: 81-939
Comments Due: June 6, 2013
Comments Due: June 6, 2013
View Received Comments
Federal Register version (78 FR 26407)
Submit a Comment on 81-939
34-69281 Order Temporarily Exempting Certain Broker-Dealers From the Recordkeeping, Reporting, and Monitoring Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934
Federal Register version (78 FR 20960)
34-69196 Order Granting a Limited Exemption From Rule 102 of Regulation M Concerning the NASDAQ Stock Market LLC Market Quality Program Pilot Pursuant to Regulation M Rule 102(e)
Federal Register version (78 FR 18410)
See Also - Rel. No. 34-69195
34-69199 Order Granting TriLinc Global Impact Fund, LLC a Limited Exemption from Rule 102(a) of Regulation M pursuant to Rule 102(e) of Regulation M
See Also - Incoming Letter
34-69060 Order Granting a Temporary Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 From the Filing Deadline Specified in Rule 613(a)(1) of the Exchange Act
Federal Register version (78 FR 15771)
See Also - Incoming Letter
34-68995 TP-13-04 Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ALPS ETF Trust and U.S. Equity High Volatility Put Write Index Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rule 101(d) and 102(e) of Regulation M
File No.: TP-13-04
Federal Register version (78 FR 14376)
See Also - Incoming Letter
34-68934 TP-13-06 Order Extending Temporary Exemptions From Certain Rules of Regulation SHO Related to Hurricane Sandy
File No.: TP-13-06
Federal Register version (78 FR 12109)
See Also - Incoming Letter
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