34-81364
Aug. 8, 2017
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
Federal Register version (82 FR 38733)
34-80860
June 5, 2017
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
See Also -
Incoming Letter
Federal Register version (82 FR 26823)
34-80861
June 5, 2017
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 Nos.:
SR-NYSE-2011-55, SR-NYSEAmex-2011-84
See Also -
Incoming Letter , 34-82228.pdf
Federal Register version (82 FR 26819)
34-80567
May 1, 2017
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
See Also -
Incoming Letter
Federal Register version (82 FR 21280)
34-80536
April 27, 2017
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
April 5, 2017
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
Federal Register version (82 FR 17300)
34-80359
March 31, 2017
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
March 29, 2017
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
March 29, 2017
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
March 2, 2017
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
Feb. 16, 2017
TP-17-03
Order Granting Limited Exemptions from Rule 102 of Regulation M Relating To NPM Securities, LLC's Alternatives Platform
See Also -
Incoming Letter
34-80042
Feb. 14, 2017
TP-17-04
Order Granting Limited Conditional Exemption From Rule 200(c) Of Regulation SHO to Magnitude Special Investments Portfolio Fund, Ltd.
See Also -
Incoming Letter
34-80010
Feb. 10, 2017
TP-17-06
Order Granting Limited Temporary Exemption from Exchange Act Section 12(j)
See Also -
Incoming Letter
34-79833
Jan. 18, 2017
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
View Received Comments
See Also -
34-71485.pdf , 34-68864.pdf , 34-64795.pdf
Federal Register version (82 FR 8467)
34-79360
Nov. 21, 2016
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)
See Also -
Incoming Letter
Federal Register version (81 FR 85657)
34-79200
Oct. 31, 2016
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
Oct. 26, 2016
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
See Also -
Incoming Letter
Federal Register version (81 FR 75865)
34-78975
Sept. 29, 2016
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
Sept. 20, 2016
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
See Also -
Incoming Letter
Federal Register version (81 FR 66109)
34-78677
Aug. 25, 2016
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
Federal Register version (81 FR 60037)
34-78678
Aug. 25, 2016
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 Nos.:
SR-NYSE-2011-55, SR-NYSEAmex-2011-84
Federal Register version (81 FR 60031)
34-78670
Aug. 24, 2016
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
July 26, 2016
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)
See Also -
related no-action letter and incoming letter
Federal Register version (81 FR 50035)
34-78332
July 14, 2016
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
See Also -
Incoming Letter
Federal Register version (81 FR 47193)
34-78311
July 13, 2016
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
See Also -
Incoming Letter
Federal Register version (81 FR 46988)
34-78215A
June 30, 2016
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
June 29, 2016
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
See Also -
Incoming Letter
34-78178
June 28, 2016
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
Federal Register version (81 FR 43689)
34-78041
June 13, 2016
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
See Also -
EDGAR Filer Manual
Federal Register version (81 FR 39741)
34-77942
May 27, 2016
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
See Also -
Incoming Letter
Federal Register version (81 FR 35423)
34-77779
May 6, 2016
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
See Also -
Incoming Letter
Federal Register version (81 FR 29588)
34-77474
March 30, 2016
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
See Also -
Incoming Letter
Federal Register version (81 FR 19695)
34-77437
March 24, 2016
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
Federal Register version (81 FR 17752)
34-77438
March 24, 2016
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 Nos.:
SR-NYSE-2011-55, SR-NYSEAmex-2011-84
Federal Register version (81 FR 17752)
34-77400
March 18, 2016
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
March 16, 2016
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
See Also -
Incoming Letter
Federal Register version (81 FR 15382)
34-77328
March 9, 2016
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
See Also -
Incoming Letter
Federal Register version (81 FR 13855)
34-77265
March 1, 2016
Order Granting Exemptions From Certain Provisions of Rule 613 Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934
See Also -
Incoming Letter
Federal Register version (81 FR 11856)
34-77240
Feb. 25, 2016
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
See Also -
Incoming Letter
Federal Register version (81 FR 10939)
34-77173
Feb. 18, 2016
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
See Also -
Incoming Letter
Federal Register version (81 FR 9231)
34-76953
Jan. 21, 2016
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
See Also -
Release Nos. 34-67734 , 34-68049 , 34-71250.pdf
Federal Register version (81 FR 4728)
34-76766
Dec. 24, 2015
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
Nov. 24, 2015
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 Nos.:
600-33, 600-34
Federal Register version (80 FR 75387)
34-76494
Nov. 20, 2015
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
See Also -
Incoming Letter
34-76495
Nov. 20, 2015
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
Federal Register version (80 FR 74185)
34-76480
Nov. 19, 2015
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
Federal Register version (80 FR 73849)
34-76397
Nov. 9, 2015
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
See Also -
Incoming Letter
34-76382
Nov. 6, 2015
4-657
Order Granting Exemption From Compliance With the National Market System Plan To Implement a Tick Size Pilot Program
Federal Register version (80 FR 70284)
34-76322
Oct. 30, 2015
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
Federal Register version (80 FR 68590)
34-76193
Oct. 19, 2015
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
See Also -
Incoming Letter
34-76183
Oct. 16, 2015
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
View Received Comments
Federal Register version (80 FR 64031)
34-76129
Oct. 13, 2015
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
Oct. 8, 2015
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
See Also -
Incoming Letter
Federal Register version (80 FR 62576)
34-76020
Sept. 29, 2015
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 Nos.:
SR-NYSE-2011-55, SR-NYSEAmex-2011-84
See Also -
Incoming Letter
Federal Register version (80 FR 60201)
34-76021
Sept. 29, 2015
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
See Also -
Incoming Letter
Federal Register version (80 FR 60207)
34-75919
Sept. 15, 2015
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
Sept. 1, 2015
TP-15-14
Order Granting Greenbacker Renewable Energy Company LLC a Limited Exemption
See Also -
Incoming Letter
Federal Register version (80 FR 53905)
34-75747
Aug. 20, 2015
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
March 30, 2015
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
See Also -
Incoming Letter
Federal Register version (80 FR 18272)
34-74507
March 13, 2015
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 Nos.:
SR-NYSE-2011-55, SR-NYSEAmex-2011-84
See Also -
Incoming Letter
Federal Register version (80 FR 14421)
34-74348
Feb. 20, 2015
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
See Also -
Incoming Letter
Federal Register version (80 FR 10524)
34-73702
Nov. 28, 2014
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
See Also -
Incoming Letter
Federal Register version (79 FR 72049)
34-73702
Nov. 28, 2014
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
See Also -
Incoming Letter
Federal Register version (79 FR 72049)
34-73398
Oct. 21, 2014
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
See Also -
Incoming Letter
Federal Register version (79 FR 63997)
34-73298
Oct. 3, 2014
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
See Also -
Incoming Letter
Federal Register version (79 FR 61115)
34-73180
Sept. 23, 2014
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
See Also -
Incoming Letter
Federal Register version (79 FR 58004)
34-72917
Aug. 26, 2014
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
See Also -
Incoming Letter
Federal Register version (79 FR 52076)
34-72732
July 31, 2014
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 Nos.:
SR-NYSE-2011-55, SR-NYSEAmex-2011-84
See Also -
Incoming Letter
Federal Register version (79 FR 45851)
34-72693
July 28, 2014
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
July 23, 2014
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
Comments Due: August 20, 2014
View Received Comments
Federal Register version (79 FR 44076)
34-72650
July 22, 2014
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
July 22, 2014
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
See Also -
Incoming Letter
Federal Register version (79 FR 43799)
34-71827
March 28, 2014
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
See Also -
Incoming Letter
Federal Register version (79 FR 18601)
34-71805
March 26, 2014
Order Granting a Limited Exemption From Rule 102 of Regulation M Concerning the NYSE Arca, Inc.'s Crowd Participant Program Pilot
See Also -
SRO Order 34-71804
Federal Register version (79 FR 18365)
34-71652
March 5, 2014
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
See Also -
Incoming Letter
Federal Register version (79 FR 13691)
34-71485
Feb. 5, 2014
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
See Also -
34-79833.pdf , 34-68864.pdf , 34-64795.pdf
Federal Register version (79 FR 9028)
34-71250
Jan. 7, 2014
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
See Also -
Incoming Letter
Federal Register version (79 FR 2234)
34-71250
Jan. 7, 2014
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
See Also -
Incoming Letter
Federal Register version (79 FR 2234)
34-71219
Dec. 31, 2013
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
Dec. 31, 2013
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
Dec. 19, 2013
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
See Also -
Incoming Letter
Federal Register version (78 FR 78424)
34-71143
Dec. 19, 2013
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
See Also -
Incoming Letter
Federal Register version (78 FR 78422)
34-71018
Dec. 6, 2013
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
See Also -
Incoming Letter
Federal Register version (78 FR 75669)
34-70919
Nov. 22, 2013
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 (78 FR 70984)
34-70701
Oct. 17, 2013
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
Sept. 9, 2013
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
See Also -
Incoming Letter
Federal Register version (78 FR 68107)
34-70303
Sept. 3, 2013
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
See Also -
Incoming Letter
Federal Register version (78 FR 55126)
34-70150
Aug. 8, 2013
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
July 31, 2013
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 Nos.:
SR-NYSE-2011-55, SR-NYSEAmex-2011-84
See Also -
Incoming Letter
Federal Register version (78 FR 47807)
34-69892
June 28, 2013
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
See Also -
Incoming Letter
Federal Register version (78 FR 40523)
34-69872
June 27, 2013
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
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
Federal Register version (78 FR 40220)
34-69831
June 21, 2013
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
See Also -
Incoming Letter
Federal Register version (78 FR 38741)
34-69707
June 6, 2013
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)
See Also -
34-69706
Federal Register version (78 FR 35330)
34-69477
April 30, 2013
81-939
Notice of an Application of W2007 Grace Acquisition I, Inc. Under Section 12(h) of the Securities Exchange Act of 1934
Comments Due: June 6, 2013
View Received Comments
Federal Register version (78 FR 26407)
34-69281
April 3, 2013
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
March 20, 2013
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)
See Also -
Rel. No. 34-69195
Federal Register version (78 FR 18410)
34-69199
March 20, 2013
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
March 7, 2013
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
See Also -
Incoming Letter
Federal Register version (78 FR 15771)
34-68995
Feb. 27, 2013
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
See Also -
Incoming Letter
Federal Register version (78 FR 14376)
34-68934
Feb. 14, 2013
TP-13-06
Order Extending Temporary Exemptions From Certain Rules of Regulation SHO Related to Hurricane Sandy
See Also -
Incoming Letter
Federal Register version (78 FR 12109)