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Exemptive Orders Archive: 2011

Additional Archives

Exemptive orders currently available include:

Release No. Date Details
34-65339 Sep. 14, 2011 Order Granting Temporary Exemption of Kroll Bond Rating Agency, Inc. from the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934
34-65132 Aug. 15, 2011 Order Temporarily Exempting the Floor Broker Operations of Broker-Dealers with Market Access That Handle Orders on a Manual Basis from the Automated Controls Requirement of Rule 15c3-5(c)(1)(ii) and Rule 15c3-5(c)(2) under the Securities Exchange Act of 1934
34-64796 Jul. 1, 2011 Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Granting Temporary Exemptions from Clearing Agency Registration Requirements under Section 17A(b) of the Exchange Act for Entities Providing Certain Clearing Services for Security-Based Swaps
File No.:  S7-28-11
Comments received are available.
* Submit comments on S7-28-11
34-64795 Jul. 1, 2011 Order Granting Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with the Pending Revision of the Definition of "Security" to Encompass Security-Based Swaps, and Request for Comment
File No.:  S7-27-11
Comments Due:  July 15, 2011
Comments received are available.
* Submit comments on S7-27-11
See also:  Security-Based Swaps Implementation Policy Statement
34-64678 Jun. 15, 2011 Order Pursuant to Sections 15F(b)(6) and 36 of the Securities Exchange Act of 1934 Granting Temporary Exemptions and Other Temporary Relief, Together with Information on Compliance Dates for New Provisions of the Securities Exchange Act of 1934 Applicable to Security-Based Swaps, and Request for Comment (Corrected to conform to Federal Register version)
Comments received are available.
Submit comments on S7-24-11
Federal Register version
See also:  Order: Release No. 34-67480; Security-Based Swaps Implementation Policy Statement
34-64479 May 12, 2011 Notice of an Application of BF Enterprises, Inc. under Section 12(h) of the Securities Exchange Act of 1934
File No.:  81-937
Comments Due:  June 16, 2011
See also:  Application and Supplemental Letter
Comments received are available.
* Submit comments on 81-937
See also: Order, Release No. 34-66541
34-64076 Mar. 11, 2011 Order Exempting the Advanced Technologies Group, Ltd. Proposed Distribution Plan from Sections 13(e) and 14(e) of the Exchange Act and Rule 13e-4 and Regulation 14E Thereunder Pursuant to Exchange Act Section 36(a)

 

http://www.sec.gov/rules/exorders/exordersarchive/exorders2011.shtml


Modified: 05/06/2013