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Exemptive Orders Archive: 2009

Additional Archives

Release No. Date Details
34-61174 Dec. 16, 2009 Order Granting Application for Extension of a Temporary Conditional Exemption Pursuant to Section 36(a) of the Exchange Act by the International Securities Exchange, LLC Relating to the Ownership Interest of International Securities Exchange Holdings, Inc. in an Electronic Communications Network
34-61164 Dec. 14, 2009 Order Extending and Modifying Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with Request of Chicago Mercantile Exchange Inc. Related to Central Clearing of Credit Default Swaps, and Request for Comments
File No.:   S7-06-09
Comments received are available.
See also:  CME Request Letter
34-61119 Dec. 4, 2009 Order Extending and Modifying Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with Request from ICE Trust U.S. LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments
File No.:   S7-05-09
Comments received are available.
See also:  ICE Request Letter
34-61020 Nov. 17, 2009 Joint Order to Exclude Indexes Composed 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
See also:  Order: Rel. No. 34-49469
34-60718 Sep. 25, 2009 Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions from Sections 5 and 6 of the Exchange Act for Broker-Dealers and Exchanges Effecting Transactions in Credit Default Swaps
See also:  Release No. 34-59165
34-60650 Sep. 11, 2009 Order Granting Application for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act from Certain Requirements of Rules 6a-1 and 6a-2 under the Exchange Act
See also:  Release No. 34-60651
34-60373 Jul. 23, 2009 Order Granting Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with Request on Behalf of Eurex Clearing AG Related to Central Clearing of Credit Default Swaps, and Request for Comments
File No.:   S7-17-09
Comments received are available.
See also:  Request for Exemptive Relief
34-60372 Jul. 23, 2009 Order Granting Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with Request on Behalf of ICE Clear Europe Limited Related to Central Clearing of Credit Default Swaps, and Request for Comments
File No.:   S7-16-09
See also:  Request for Exemptive Relief
34-60194 Jun. 30, 2009 Order under Section 36 of the Securities Exchange Act of 1934 Granting an Exemption from Exchange Act Section 6(h)(1) for Certain Persons Effecting Transactions in Foreign Security Futures and under Exchange Act Section 15(a)(2) and Section 36 Granting Exemptions from Exchange Act Section 15(a)(1) and Certain Other Requirements
Other Release No.:  International Series Release No. 1311
34-60136 Jun. 18, 2009 Order Exempting CIBC Mellon Trust Company From Broker-Dealer Registration
34-59578 Mar. 13, 2009 Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request of Chicago Mercantile Exchange Inc. and Citadel Investment Group, L.L.C. Related to Central Clearing of Credit Default Swaps, and Request for Comments
See also:  Request for Exemptive Relief
34-59527 Mar. 6, 2009 Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of ICE US Trust LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments
See also: Request for Exemptive Relief

 

http://www.sec.gov/rules/exorders/exordersarchive/exorders2009.shtml


Modified: 10/16/2014