SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


Exchange Act Exemptive Notices and Orders

Additional Archives

Exemptive notices and orders currently available include:

Release No. Date Details
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
* Submit comments on 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: 04/15/2014