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Exchange Act Exemptive Notices and Orders

Additional Archives

Exemptive notices and orders currently available include:

Release No. Date Details
34-72917 Aug. 26, 2014 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
34-72732 Jul. 31, 2014 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
See also:  Incoming Letter
34-72693 Jul. 28, 2014 Order Granting a Limited Exemption from Rule 102 of Regulation M Concerning the BATS Exchange, Inc.ís Pilot Supplemental Competitive Liquidity Provider Program
34-72658 Jul. 23, 2014 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.: File No. S7-08-14
Comments due: August 19, 2014
Comments received are available for this proposal.
34-72655 Jul. 22, 2014 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
34-72650 Jul. 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
34-71827 Mar. 28, 2014 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
See also: Incoming Letter
34-71805 Mar. 26, 2014 Order Granting a Limited Exemption from Rule 102 of Regulation M Concerning the NYSE Arca, Inc.ís Crowd Participant Program Pilot
See also:  SRO Order 34-71804
34-71652 Mar. 5, 2014

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

34-71485 Feb. 5, 2014 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.: File No. S7-27-11 See also: 34-64795
34-71250 Jan. 7, 2014 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
See also:  Incoming Letter

 

http://www.sec.gov/rules/exorders.shtml


Modified: 08/26/2014