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Exemptive Orders Archive: 2004

Additional Archives

Exemptive orders currently available include:

Release No. Date Details
34-50754 Nov. 30, 2004 Order Under Section 36 of the Securities Exchange Act of 1934 Granting an Exemption from Specified Provisions of Exchange Act Rules 13a-1 and 15d-1
34-50618 Nov. 1, 2004 Order Extending Temporary Exemption under Section 3(a)(4) 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, 34-47649, 34-47366, 34-46751, 34-46745, 34-45897, 34-44570
34-50376 Sep. 14, 2004 Order Granting Exemption to National Association of Securities Dealers, Inc. from Certain Reporting Requirements Under Section 31 of the Exchange Act
34-50311 Sep. 3, 2004 Order Granting Application for a Temporary Conditional Exemption Pursuant to Section 36(a) of the Exchange Act by the National Association of Securities Dealers, Inc. Relating to the Acquisition of an ECN by The Nasdaq Stock Market, Inc.
See also: Nasdaq-Brut Exemption Request
34-49469 Mar. 25, 2004 Joint Order Excluding Indexes Comprised of Certain Index Options from the Definition of Narrow-Based Security Index pursuant to Section 1a(25)(B)(vi) of the Commodity Exchange Act and Section 3(a)(55)(C)(vi) of the Securities Exchange Act of 1934
34-49260 Feb. 17, 2004 Order Granting Application for Exemptions Pursuant to Section 36(a) of the Exchange Act by the American Stock Exchange LLC, the International Securities Exchange, Inc., the Municipal Securities Rulemaking Board, the Pacific Exchange, Inc., the Philadelphia Stock Exchange, Inc., and the Boston Stock Exchange, Inc.
34-49038 Jan. 8, 2004 Order Granting Temporary Exemption for Security Futures Products from the Definition of Penny Stock

 

http://www.sec.gov/rules/exorders/exordersarchive/exorders2004.shtml


Modified: 10/16/2014