34-68864
Feb. 7, 2013
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 View Received Comments Federal Register version (78 FR 10218)34-79833.pdf , 34-71485.pdf , 34-64795.pdf
34-68459
Dec. 18, 2012
TP-13-02
Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ALPS ETF Trust, ALPS/GS Momentum Builder Growth Markets Equities and U.S. Treasuries Index ETF, ALPS/GS Momentum Builder Multi-Asset Index ETF, and ALPS/GS Momentum Builder Asia ex-Japan Equities and U.S. Treasuries Index ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M Federal Register version (77 FR 76106) Incoming Letter
34-68433
Dec. 14, 2012
S7-13-12
Order Granting Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With Portfolio Margining of Swaps and Security-Based Swaps Comments Due: View Received Comments Federal Register version (77 FR 75211)2013 , 2013 , 2013 , 2014 , 2013 , 2013 , 2013 , 2014 , 2013 , 2013 , 2013 , 2014 , 2013 , 2013 , 2014 , 2013 , 2013 , 2013 , 2014 , 2013 , 2013 , 2013 , 2014 , 2013 , 2013 , 2013 , 2014 , 2013 , 2013 , 2013 , 2014 , LLC , Smith , Inc. , 2019 BNP Paribas Securities Corp. , 2019 Responses to CDS Portfolio Margining Questions under the Temporary Conditional Approval Letters
34-68439
Dec. 14, 2012
TP-11-10
Order Granting Limited Exemptions From Exchange Act Rules 101 and 102 of Regulation M to Shares of JPM XF Physical Copper Trust Pursuant to Exchange Act Rules 101(d) and 102(e) Federal Register version (77 FR 75464) Incoming Letter
34-68419
Dec. 12, 2012
TP-13-05
Order Granting Exemptions From Certain Rules of Regulation SHO Related to Hurricane Sandy Federal Register version (77 FR 74891) Incoming Letter
34-68286
Nov. 26, 2012
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 View Received Comments Federal Register version (77 FR 71201)34-63363.pdf , and 34-65765 , 34-62120.pdf
34-67804
Sept. 7, 2012
TP-12-10
Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to iShares, Inc. and iShares MSCI Frontier 100 Index Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rule 101(d) and 102(e) of Regulation M Federal Register version (77 FR 56681) Incoming Letter
34-67620
Aug. 8, 2012
TP-12-12
Order Granting Business Development Corporation of America a Limited Exemption from Rule 102(a) of Regulation M pursuant to Rule 102(e) Incoming Letter
34-67480
July 20, 2012
S7-24-11
Order Extending Temporary Conditional Exemption in Connection With the Effectiveness of the Definition of Eligible Contract Participant Federal Register version (77 FR 43878)
34-67480
July 20, 2012
S7-24-11
Order Extending Temporary Conditional Exemption in Connection With the Effectiveness of the Definition of Eligible Contract Participant View Received Comments Federal Register version (77 FR 43878)
34-67215
June 19, 2012
TP-11-07
Order Granting a Limited Exemption From Exchange Act Rule 10b-17 to Certain Actively Managed Exchange-Traded Funds Pursuant to Exchange Act Rule 10b-17(b)(2) Federal Register version (77 FR 37941) PIMCO ETF Trust Request Letter
34-67163
June 7, 2012
TP-12-11
FS Investment Corporation II (Order Granting FS Investment Corporation II a Limited Exemption from Rule 102(a) of Regulation M pursuant to Rule 102(e)) FS Investment Corporation II Request Letter
34-66839
April 20, 2012
Order Temporarily Exempting Broker-Dealers From the Recordkeeping, Reporting, and Monitoring Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934 and Granting an Exemption for Certain Securities Transactions Federal Register version (77 FR 25007)
34-66624
March 20, 2012
Order Granting an Application of Edward Jones & Co. LLP Exemption From Exchange Act Section 11(d)(1) Pursuant to Exchange Act Section 36(a) Federal Register version (77 FR 17530)L.P. Request Letter
34-66541
March 8, 2012
81-937
Order Granting an Application of BF Enterprises, Inc. Under the Securities Exchange Act of 1934 Federal Register version (77 FR 15148)
34-66541
March 8, 2012
81-937
Order Granting an Application of BF Enterprises, Inc. Under the Securities Exchange Act of 1934 Comments Due: View Received Comments Federal Register version (77 FR 15148)
34-66514
March 5, 2012
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 Federal Register version (77 FR 14580)
34-65339
Sept. 14, 2011
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 Federal Register version (76 FR 58319)
34-65132
Aug. 15, 2011
Order Temporarily Exempting the Floor Broker Operations of Broker-Dealers With Market Access That Handle Orders on a Manual Basis From the Automated Controls Requirement of Rule 15c3-5(c)(1)(ii) and Rule 15c3-5(c)(2) Under the Securities Exchange Act of 1934 Federal Register version (76 FR 51457)
34-64795
July 1, 2011
S7-27-11
Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With the Pending Revision of the Definition of "Security" To Encompass Security-Based Swaps, and Request for Comment Comments Due: View Received Comments Federal Register version (76 FR 39927)34-79833.pdf , 34-71485.pdf , 34-68864.pdf
34-64796
July 1, 2011
S7-28-11
Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Granting Temporary Exemptions From Clearing Agency Registration Requirements Under Section 17A(b) of the Exchange Act for Entities Providing Certain Clearing Services for Security-Based Swaps View Received Comments Federal Register version (76 FR 39963)
34-64678
June 15, 2011
S7-24-11
Temporary Exemptions and Other Temporary Relief, Together With Information on Compliance Dates for New Provisions of the Securities Exchange Act of 1934 Applicable to Security-Based Swaps View Received Comments Federal Register version (76 FR 36287). Submit comments on S7-24-11 Federal Register version
34-64678
June 15, 2011
S7-24-11
Temporary Exemptions and Other Temporary Relief, Together With Information on Compliance Dates for New Provisions of the Securities Exchange Act of 1934 Applicable to Security-Based Swaps View Received Comments Federal Register version (76 FR 36287). Submit comments on S7-24-11 Federal Register version
34-64479
May 12, 2011
81-937
Notice of an Application of BF Enterprises, Inc. Under Section 12(h) of the Securities Exchange Act of 1934 Comments Due: View Received Comments Federal Register version (76 FR 28482)
34-64479
May 12, 2011
81-937
Notice of an Application of BF Enterprises, Inc. Under Section 12(h) of the Securities Exchange Act of 1934 Comments Due: View Received Comments Federal Register version (76 FR 28482)
34-64076
March 11, 2011
Order Exempting the Advanced Technologies Group, Ltd. Proposed Distribution Plan from Sections 13(e) and 14(e) of the Exchange Act and Rule 13e-4 and Regulation 14E Thereunder Pursuant to Exchange Act Section 36(a)
34-63387
Nov. 29, 2010
S7-05-09
Order Extending and Modifying Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request of Ice Trust U.S. LLC Related to Central Clearing of Credit Default Swaps and Request for Comment View Received Comments Federal Register version (75 FR 75502) ICE Request Letter
34-63388
Nov. 29, 2010
S7-06-09
Order Extending Temporary Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With Request of Chicago Mercantile Exchange Inc. Related to Central Clearing of Credit Default Swaps and Request for Comment View Received Comments Federal Register version (75 FR 75522) CME Request Letter
34-63389
Nov. 29, 2010
S7-16-09
Order Extending Temporary Conditional Exemptions Under The Securities Exchange Act of 1934 in Connection With Request on Behalf of Ice Clear Europe, Limited Related to Central Clearing of Credit Default Swaps and Request for Comment Federal Register version (75 FR 75520) ICE Clear Europe Request Letter
34-63390
Nov. 29, 2010
S7-17-09
Order Extending Temporary Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of Eurex Clearing AG Related to Central Clearing of Credit Default Swaps and Request for Comment View Received Comments Federal Register version (75 FR 75518) Eurex Clearing Request Letter
34-63363
Nov. 23, 2010
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 Federal Register version (75 FR 73137)34-62120.pdf , Rountable Notice Rel. No. 34-59753
34-62280
June 11, 2010
Order Granting Application for Extension of a Temporary Conditional Exemption Pursuant to Section 36(a) of the Exchange Act by the International Securities Exchange, LLC Relating to the Ownership Interest of International Securities Exchange Holdings, Inc. in an Electronic Communications Network Federal Register version (75 FR 34796)
34-62120
May 19, 2010
S7-04-09
Order Granting 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 View Received Comments Federal Register version (75 FR 28825)
34-61973
April 23, 2010
S7-16-09
Order Extending Temporary Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of ICE Clear Europe, Limited Related to Central Clearing of Credit Default Swaps, and Request for Comments Federal Register version (75 FR 22656) ICE Request Letter
34-61975
April 23, 2010
S7-17-09
Order Extending and Modifying Temporary Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of Eurex Clearing AG Related to Central Clearing of Credit Default Swaps, and Request for Comment View Received Comments Federal Register version (75 FR 22641) Eurex Request Letter
34-61884
April 9, 2010
Order Exempting the Federal Reserve Bank of New York, Maiden Lane LLC and the Maiden Lane Commercial Mortgage Backed Securities Trust 2008-1 From Broker-Dealer Registration Request Letter
34-61803
March 30, 2010
S7-06-09
Order Extending Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request of Chicago Mercantile Exchange Inc. Related to Central Clearing of Credit Default Swaps, and Request for Comments View Received Comments Federal Register version (75 FR 17181)
34-61662
March 5, 2010
S7-05-09
Order Extending Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection with Request of ICE Trust U.S. LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments View Received Comments Federal Register version (75 FR 11589)
34-61534
Feb. 18, 2010
Order Granting Application for Exemption Pursuant to Section 36(a) of the Exchange Act by BATS Exchange, Inc. From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference Federal Register version (75 FR 8760)
34-61174
Dec. 16, 2009
Order Granting Application for Extension of a Temporary Conditional Exemption Pursuant to Section 36(a) of the Exchange Act by the International Securities Exchange, LLC Relating to the Ownership Interest of International Securities Exchange Holdings, Inc. in an Electronic Communications Network Federal Register version (74 FR 68294)
34-61164
Dec. 14, 2009
S7-06-09
Order Extending and Modifying Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request of Chicago Mercantile Exchange Inc. Related to Central Clearing of Credit Default Swaps, and Request for Comments View Received Comments Federal Register version (74 FR 67258) CME Request Letter
34-61119
Dec. 4, 2009
S7-05-09
Order Extending and Modifying Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request From ICE Trust U.S. LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments View Received Comments Federal Register version (74 FR 65554)
34-61020
Nov. 17, 2009
Joint Order To Exclude Indexes Composed of Certain Index Options From the Definition of Narrow-Based Security Index Pursuant to Section 1a(25)(B)(vi) of the Commodity Exchange Act and Section 3(a)(55)(C)(vi) of the Securities Exchange Act of 1934 Federal Register version (74 FR 61116)
34-60718
Sept. 25, 2009
S7-35-08
Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions from Sections 5 and 6 of the Exchange Act for Broker-Dealers and Exchanges Effecting Transactions in Credit Default Swaps Federal Register version (74 FR 50862)
34-60718
Sept. 25, 2009
S7-35-08
Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions from Sections 5 and 6 of the Exchange Act for Broker-Dealers and Exchanges Effecting Transactions in Credit Default Swaps Federal Register version (74 FR 50862)
34-60650
Sept. 11, 2009
Order Granting Application by EDGX Exchange, Inc. and EDGA Exchange, Inc. for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act From Certain Requirements of Rules 6a-1 and 6a-2 Under the Exchange Act Federal Register version (74 FR 47828)
34-60372
July 23, 2009
S7-16-09
Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of Ice Clear Europe Limited Related to Central Clearing of Credit Default Swaps, and Request for Comments Federal Register version (74 FR 37748) Request for Exemptive Relief
34-60373
July 23, 2009
S7-17-09
Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of Eurex Clearing AG Related to Central Clearing of Credit Default Swaps, and Request for Comments View Received Comments Federal Register version (74 FR 37740) Request for Exemptive Relief
34-60194
June 30, 2009
Order Under Section 36 of the Securities Exchange Act of 1934 Granting an Exemption From Exchange Act Section 6(h)(1) for Certain Persons Effecting Transactions in Foreign Security Futures and Under Exchange Act Section 15(a)(2) and Section 36 Granting Exemptions From Exchange Act Section 15(a)(1) and Certain Other Requirements Federal Register version (74 FR 32200)
34-60136
June 18, 2009
Order Exempting CIBC Mellon Trust Company From Broker-Dealer Registration
34-59578
March 13, 2009
S7-06-09
Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection with Request of Chicago Mercantile Exchange Inc. and Citadel Investment Group, L.L.C. Related to Central Clearing of Credit Default Swaps, and Request for Comments Federal Register version (74 FR 11781)
34-59527
March 6, 2009
S7-05-09
Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of ICE U.S. Trust LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments Federal Register version (74 FR 10791)
34-59165
Dec. 24, 2008
S7-35-08
Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Granting Temporary Exemptions From Sections 5 and 6 of the Exchange Act for Broker-Dealers and Exchanges Effecting Transactions in Credit Default Swaps Federal Register version (74 FR 133)34-60718.pdf
34-59165
Dec. 24, 2008
S7-35-08
Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Granting Temporary Exemptions From Sections 5 and 6 of the Exchange Act for Broker-Dealers and Exchanges Effecting Transactions in Credit Default Swaps Federal Register version (74 FR 133)34-60718.pdf
34-59133
Dec. 22, 2008
Order Granting Application for a Temporary Conditional Exemption Pursuant to Section 36(a) of the Exchange Act by the International Securities Exchange, LLC Relating to the Acquisition by International Securities Exchange Holdings, Inc. of an Electronic Communications Network Federal Register version (73 FR 79940)
34-58454
Sept. 3, 2008
Order Granting Application for Exemption Pursuant to Section 36(a) of the Exchange Act by the Philadelphia Stock Exchange, Inc. from the Rule Filing Requirements of Section 19(b) of the Exchange Act with Respect to Certain Rules Incorporated by Reference
34-57620
April 4, 2008
Order Modifying the Exemption for Qualified Contingent Trades from Rule 611(a) of Regulation NMS Under the Securities Exchange Act of 1934 Federal Register version (73 FR 19271)
34-57621
April 4, 2008
Order Exempting Non-Convertible Preferred Securities from Rule 611(a) of Regulation NMS under the Securities Exchange Act of 1934 Federal Register version (73 FR 19270)
34-56376
Sept. 7, 2007
Order Granting a Conditional Exemption to Broker-Dealers From Requirements in Rules 15c3-1 And 15c3-3 Under the Securities Exchange Act of 1934 To Promptly Transmit Customer Checks for the Purchase of Deferred Variable Annuity Contracts Federal Register version (72 FR 52400)
34-56176
July 31, 2007
Order Granting The NASDAQ Stock Market LLC's Application for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934
34-55883
June 8, 2007
Order Exempting Certain Print Protection Transactions From Rule 611 of Regulation NMS Under the Securities Exchange Act of 1934 Federal Register version (72 FR 32927)
34-55884
June 8, 2007
Order Exempting Certain Error Correction Transactions From Rule 611 of Regulation NMS Under the Securities Exchange Act of 1934 Federal Register version (72 FR 32926)
34-54766
Nov. 16, 2006
S7-06-05
Order Granting the New York Stock Exchange Inc.'s (n/k/a the New York Stock Exchange LLC) Application for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 Federal Register version (71 FR 67657)
34-54714
Nov. 6, 2006
Order Granting National Securities Exchanges a Limited Exemption From Rule 612 of Regulation NMS Under the Securities Exchange Act of 1934 To Permit Acceptance by Exchanges of Certain Sub-Penny Orders Federal Register version (71 FR 66352)
34-54678
Oct. 31, 2006
Order Exempting Certain Sub-Penny Trade-Throughs From Rule 611 of Regulation NMS Under the Securities Exchange Act of 1934 Federal Register version (71 FR 65018)
34-54544
Sept. 29, 2006
S7-12-01
Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks From the Definition of "Broker" Under Section 3(a)(4) of the Securities Exchange Act of 1934 Federal Register version (71 FR 58891)
34-54389
Aug. 31, 2006
Order Granting an Exemption for Qualified Contingent Trades From Rule 611(a) of Regulation NMS Under the Securities Exchange Act of 1934 Federal Register version (71 FR 52829)
34-54241
July 31, 2006
In the Matter of the Application of the Nasdaq Stock Market, Inc. and the NASDAQ Stock Market LLC for an Exemption From Section 12(a) Allowing Trading of Certain Unregistered Securities Federal Register version (71 FR 45359)
34-53856
May 24, 2006
Order Granting Exemption to NYSE Market, Inc. and NYSE Arca, L.L.C. from Requirement to Register as a Securities Information Processor
34-53667
April 18, 2006
Order Exempting Computershare Trust Company of Canada and Computershare Investor Services Inc. from Broker Registration
34-53193
Jan. 30, 2006
Order Granting Exemption to Liquidnet, Inc. from Certain Provisions of Rule 612 of Regulation NMS under the Securities Exchange Act of 1934
34-52840
Nov. 28, 2005
81-934
Order Granting an Application of Global Industries, Ltd. Under Section 12(h) of the Securities Exchange Act of 1934 Comments Due: Federal Register version (70 FR 72134)34-52733.pdf
34-52514
Sept. 27, 2005
Order Granting Exemption to Liquidnet, Inc. from Certain Provisions of Regulation ATS under the Securities Exchange Act of 1934
34-52444, IC-27067
Sept. 15, 2005
Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder; Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions From Specified Provisions of the Company Act and Certain Rules Thereunder
34-52405
Sept. 9, 2005
S7-12-01
Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks From the Definition of "Broker" Under Section 3(a)(4) of the Securities Exchange Act of 1934 Federal Register version (70 FR 54596)
34-51998
July 8, 2005
S7-06-05
Notice of an Application of the New York Stock Exchange, Inc. for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 and Request for Comment Comments Due: View Received Comments Federal Register version (70 FR 40748)
34-51328
March 8, 2005
S7-12-01
Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks From the Definition of "Broker" Under Section 3(a)(4) of the Securities Exchange Act of 1934 Federal Register version (70 FR 12517)Rel. No. 34-44291 , Rel. No. 34-49879
34-51253
Feb. 25, 2005
Order Exempting CIBC Mellon Trust Company from Broker-Dealer Registration
34-50754
Nov. 30, 2004
Order Under Section 36 of the Securities Exchange Act of 1934 Granting an Exemption from Specified Provisions of Exchange Act Rules 13a-1 and 15d-1
34-50618
Nov. 1, 2004
S7-12-01
Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks From the Definition of "Broker" Under Section 3(a)(4) of the Securities Exchange Act of 1934 Federal Register version (69 FR 64607)Rel. No. 34-44291 , Rel. No. 34-49879
34-50376
Sept. 14, 2004
Order Granting Exemption to National Association of Securities Dealers, Inc. From Certain Reporting Requirements Under Section 31 of the Exchange Act Federal Register version (69 FR 56806)
34-50311
Sept. 3, 2004
Order Granting Application for a Temporary Conditional Exemption Pursuant To Section 36(a) of the Exchange Act by the National Association of Securities Dealers, Inc. Relating to the Acquisition of an ECN by The Nasdaq Stock Market, Inc. Federal Register version (69 FR 54818) Nasdaq-Brut Exemption Request
34-49469
March 25, 2004
Joint Order Excluding Indexes Comprised of Certain Index Options From the Definition of Narrow-Based Security Index Pursuant to Section 1a(25)(B)(vi) of the Commodity Exchange Act and Section 3(a)(55)(C)(vi) of the Securities Exchange Act of 1934 Federal Register version (69 FR 16900)
34-49469
March 25, 2004
Joint Order Excluding Indexes Comprised of Certain Index Options From the Definition of Narrow-Based Security Index Pursuant to Section 1a(25)(B)(vi) of the Commodity Exchange Act and Section 3(a)(55)(C)(vi) of the Securities Exchange Act of 1934 Federal Register version (69 FR 16900)
34-49260
Feb. 17, 2004
Order Granting Application for Exemptions Pursuant to Section 36(a) of the Exchange Act by the American Stock Exchange LLC, the International Securities Exchange, Inc., the Municipal Securities Rulemaking Board, the Pacific Exchange, Inc., the Philadelphia Stock Exchange, Inc., and the Boston Stock Exchange, Inc. Federal Register version (69 FR 8500)
34-49038
Jan. 8, 2004
Order Granting Temporary Exemption for Security Futures Products from the Definition of Penny Stock
34-47649
April 8, 2003
S7-12-01
Order Extending Temporary Exemption under Section 3(a)(4) of the Securities Exchange Act of 1934; Notice to Amend Rules Rel. No. 34-44291 , Rel. No. 34-49879
34-47366
Feb. 13, 2003
S7-12-01
Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks from the Definition of "Dealer" under Section 3(a)(5) of the Securities Exchange Act of 1934 Rel. No. 34-44291 , Rel. No. 34-49879
34-46751
Oct. 30, 2002
S7-12-01
Order Extending Temporary Exemption under Section 3(a)(5) of the Securities Exchange Act of 1934 Rel. No. 34-44291 , Rel. No. 34-49879
34-46001
May 30, 2002
4-429
Order Granting Approval of Joint Amendments Nos. 2 and 3 to the Options Intermarket Linkage Plan Relating to Satisfaction of Trade-Throughs, the Procedures for Handling Multiple Principal Orders, Restrictions on Withdrawal, and an Imp Federal Register version (67 FR 38687)
34-46003
May 30, 2002
S7-17-00
Order Granting Temporary Exemption for Broker-Dealers from the Trade-Through Disclosure Rule Federal Register version (67 FR 38689)
34-45897
May 8, 2002
S7-12-01
Order Extending Temporary Exemption under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934; Notice to Amend Rules Rel. No. 34-44291 , Rel. No. 34-49879
34-45730
April 11, 2002
Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Certain Provisions of the Act and Rules Thereunder
33-8070
March 18, 2002
S7-03-02
Requirements for Arthur Andersen LLP Auditing Clients Federal Register version (67 FR 13517)
34-45179
Dec. 20, 2001
Re: Extending Broker-Dealer Exemption from Sending Financial Information to Customers
34-44916
Oct. 10, 2001
Re: Government Securities Reconciliations
34-44871
Sept. 28, 2001
Re: Government Securities Reconciliations
34-44874
Sept. 28, 2001
Re: Exemptive Relief to Respond to Market Developments, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934
34-44839
Sept. 24, 2001
Re: Government Securities Reconciliations
34-44570
July 18, 2001
S7-12-01
Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks; Notice of Intent to Amend Rules Rel. No. 34-44291 , Rel. No. 34-49879
