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Exemptive Orders Archive: 2002

Additional Archives

Exemptive orders currently available include:

Release No. Date Details
34-46751 Oct. 30, 2002 Order Extending Temporary Exemption under Section 3(a)(5) of the Securities Exchange Act of 1934
File No.:  S7-12-01
See also: Final Rule, Rel. No. 34-44291 and comments;
Proposed Rule, Rel. No. 34-49879 and comments;
Other Rules, Rel. Nos. 34-51328, 34-50618, 34-47649, 34-47366, 34-46745, 34-45897, 34-44570
34-45897 May 8, 2002 Order Extending Temporary Exemption under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934; Notice to Amend Rules
File No.: S7-12-01
See also: Final Rule, Rel. No. 34-44291 and comments;
Proposed Rule, Rel. No. 34-49879 and comments;
Other Rules, Rel. Nos. 34-51328, 34-50618, 34-47649, 34-47366, 34-46751, 34-46745, 34-44570
34-46003 May 30, 2002 Order Granting Temporary Exemption for Broker-Dealers from the Trade-Through Disclosure Rule
Release No.:  34-46003;
File No.:  S7-17-00
34-46001 May 30, 2002 Joint Industry Plan; 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 Implementation Timetable
Release No.:  34-46001;
File No.:  4-429
34-45730 Apr. 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 Mar. 18, 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 Mar. 18, 2002 Order Under Sections 6(b), 6(c), and 38(a) of the Investment Company Act of 1940 and Sections 206A and 211(a) of the Investment Advisers Act of 1940 Granting Exemptions From Certain Provisions of the Acts and Rules Thereunder
33-8070 Mar. 18, 2002 Order Under Sections 20(a) and 20(d) of the Public Utility Holding Company Act of 1935 Granting Exemptions From Certain Provisions of the Act and Rules Thereunder

 

http://www.sec.gov/rules/exorders/exordersarchive/exorders2002.shtml


Modified: 10/16/2014