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Exemptive Orders Archive: 2012

Additional Archives

Exemptive orders currently available include:

Release No. Date Details
34-68459 Dec. 18, 2012 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ALPS ETF Trust, ALPS/GS Momentum Builder Growth Markets Equities and U.S. Treasuries Index ETF, ALPS/GS Momentum Builder Multi-Asset Index ETF, and ALPS/GS Momentum Builder Asia ex-Japan Equities and U.S. Treasuries Index ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP 13-02
See also:  Incoming Letter
34-68439 Dec. 14, 2012 Order Granting Limited Exemptions from Exchange Act Rules 101 and 102 of Regulation M to Shares of JPM XF Physical Copper Trust Pursuant to Exchange Act Rules 101(d) and 102(e)
File No.: TP 11-10
See also:  Incoming Letter
34-68433 Dec. 14, 2012 Order Granting Conditional Exemptions under the Securities Exchange Act of 1934 in Connection with Portfolio Margining of Swaps and Security-Based Swaps
File No.:  S7-13-12
Effective Date: December 19, 2012
Comments due: February 19, 2013
See also: Temporary Conditional Approval Letters Comments received are available.
* Submit comments on S7-13-12
34-68419 Dec. 12, 2012 Order Granting Exemptions from Certain Rules of Regulation SHO Related to Hurricane Sandy
File No.:  TP 13-05
See also:  Incoming Letter
34-68286 Nov. 26, 2012 Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations from Requirements Of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment
File No.:  S7-04-09
See also:  Extension Orders, Rel. Nos. 34-63363 and 34-65765; and Temporary Exemptive Order, Rel. No. 34-62120
Comments received are available.
* Submit comments on S7-04-09
34-67804 Sep. 7, 2012 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to iShares, Inc. and iShares MSCI Frontier 100 Index Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rule 101(d) and 102(e) of Regulation M
File No.:  TP 12-10
See also:  Incoming Letter
34-67620 Aug. 8, 2012 Order Granting Business Development Corporation of America a Limited Exemption from Rule 102(a) of Regulation M pursuant to Rule 102(e)
File No.:  TP 12-12
See also:  Incoming Letter
34-67480 Jul. 20, 2012 Order Extending Temporary Conditional Exemption in Connection With the Effectiveness of the Definition of Eligible Contract Participant
File No.:  S7-24-11
See also:  Order: Release No. 34-64678; Security-Based Swaps Implementation Policy Statement
34-67215 Jun. 19, 2012 Order Granting a Limited Exemption from Exchange Act Rule 10b-17 to Certain Actively Managed Exchange-Traded Funds Pursuant to Exchange Act Rule 10b-17(b)(2)
File No.:   TP 11-07
See also:  PIMCO ETF Trust Request Letter
34-67163 Jun. 7, 2012 FS Investment Corporation II (Order Granting FS Investment Corporation II a Limited Exemption from Rule 102(a) of Regulation M pursuant to Rule 102(e))
File No.:   TP 12-11
See also:  FS Investment Corporation II Request Letter
34-66839 Apr. 20, 2012 Broker-Dealers (Order Temporarily Exempting Broker-Dealers from the Recordkeeping, Reporting, and Monitoring Requirements of Rule 13h-1 under the Securities Exchange Act of 1934 and Granting an Exemption for Certain Securities Transactions)
34-66624 Mar. 20, 2012 Edward Jones & Co. LP (Order Granting an Application of Edward Jones & Co. LP Exemption from Exchange Act Section 11(d)(1) pursuant to Exchange Act Section 36(a))
34-66541 Mar. 8, 2012 BF Enterprises, Inc. (Order Granting an Application of BF Enterprises, Inc. under Section 12(h) of the Securities Exchange Act of 1934)
See also: Notice, Release No. 34-64479
34-66514 Mar. 5, 2012 Order Granting Temporary Exemption of Morningstar Credit Ratings, LLC from the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934

 

http://www.sec.gov/rules/exorders/exordersarchive/exorders2012.shtml


Modified: 02/03/2014