Exchange Act Exemptive Notices and Orders

Exemptive notices and orders currently available include:

First Quarter

Release No. Date Details
First Quarter
34-77474 Mar. 30, 2016 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
34-77438 Mar. 24, 2016 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, SR-NYSE-2011-84
34-77437 Mar. 24, 2016 Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection with the Exchange's Retail Liquidity Program.
File Nos.: SR-NYSEArca-2013-107
34-77400 Mar. 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
34-77380 Mar. 16, 2016 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
34-77328 Mar. 9, 2016 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
34-77265 Mar. 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
34-77265 Mar. 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
34-77240 Feb. 25, 2016 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
See also:  Incoming Letter
34-77173 Feb. 18, 2016 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
See also:  Incoming Letter
34-76953 Jan. 21, 2016 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
See also:  Release Nos. 34-67734, 34-68049, 34-71250