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Exchange Act Exemptive Notices and Orders Archive: 2013

Additional Archives

Release No. Date Details
34-71220 Dec. 31, 2013 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
See also:  Incoming Letters
34-71219 Dec. 31, 2013 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
See also:  Incoming Letters
34-71143 Dec. 19, 2013 Order Granting Application by Financial Industry Regulatory Authority, Inc. for Exemption Pursuant to Section 36(a) of the Exchange Act from the Rule Filing Requirements of Section 19(b) of the Exchange Act with Respect to Certain Rules Incorporated by Reference
See also:  Incoming Letter
34-71142 Dec. 19, 2013 Order Granting a Limited Exemption from Rule 102(a) of Regulation M to Certain Business Development Companies Pursuant to Rule 102(e) of Regulation M
See also:  Incoming Letter
34-71018 Dec. 6, 2013 Order Granting a Temporary Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 from the Filing Deadline Specified in Rule 613(a)(1) of the Exchange Act
See also:  Incoming Letter
34-70919 Nov. 22, 2013 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
Comments received are available.
34-70701 Oct. 17, 2013 Order Providing Broker-Dealers a Temporary Exemption from the Requirements of Certain New Amendments to the Financial Responsibility Rules for Broker-Dealers under the Securities Exchange Act of 1934
34-70349 Sep. 9, 2013 Order Exempting Broker-Dealers Participating in the Proposed Global Offering of Meridian Energy Limited from the Arranging Prohibitions of Section 11(d)(1) of the Exchange Act
See also:  Incoming Letter
34-70303 Sep. 3, 2013 Order Exempting Broker-Dealers Participating in NYSE Arca, Inc.’s Lead Market Maker Incentive Program from Section 11(d)(1) of the Securities Exchange Act of 1934 and Rule 11d1-2 thereunder
See also:  Incoming Letter
34-70150 Aug. 8, 2013 Order Temporarily Exempting Certain Broker-Dealers and Certain Transactions from the Recordkeeping and Reporting Requirements of Rule 13h-1 under the Securities Exchange Act of 1934
34-70085 Jul. 31, 2013 Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs
File Nos.: SR-NYSE-2011-55, SR-NYSEAmex-2011-84
See also:  Incoming Letter
34-69892 Jun. 28, 2013 Order Exempting Market Makers Participating in NASDAQ Stock Market LLC’s Market Quality Program from Section 11(d)(1) of the Securities Exchange Act of 1934 and Rule 11d1-2 thereunder
See also:  Incoming Letter
34-69872 Jun. 27, 2013 Order Pursuant to Section 17A of the Securities Exchange Act of 1934 Granting Exemption from the Clearing Agency Registration Requirement under Section 17A(b) of the Exchange Act for ICE Clear Europe Limited in Connection With its Proposal to Clear Contracts Traded on the LIFFE Administration and Management Market
See also:  Related SRO Rule Filing: Rel. No. 34-69888
34-69831 Jun. 21, 2013 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ALPS ETF Trust, the VelocityShares Tail Risk Hedged Large Cap ETF, and the VelocityShares Volatility Hedged Large Cap ETF
See also:  Incoming Letter
34-69707 Jun. 6, 2013 Order Granting a Limited Exemption from Rule 102 of Regulation M Concerning the NYSE Arca, Inc.’s Exchange Traded Product Incentive Program Pilot Pursuant to Regulation M Rule 102(e)
See also:  SRO Order: 34-69706
34-69477 Apr. 30, 2013 Notice of an Application of W2007 Grace Acquisition I, Inc. under Section 12(h) of the Securities Exchange Act of 1934
File No.:  81-939
Comments due:  June 5, 2013
See also:  Application and Supplemental Letter
Comments received are available.
34-69281 Apr. 3, 2013 Order Temporarily Exempting Certain Broker-Dealers from the Recordkeeping, Reporting, and Monitoring Requirements of Rule 13h-1 under the Securities Exchange Act of 1934
34-69196 Mar. 20, 2013 Order Granting a Limited Exemption from Rule 102 of Regulation M Concerning the NASDAQ Stock Market LLC Market Quality Program Pilot Pursuant to Regulation M Rule 102(e)
See also:  Related SRO Rule Filing: Rel. No. 34-69195
34-69199 Mar. 20, 2013 Order Granting TriLinc Global Impact Fund, LLC a Limited Exemption from Rule 102(a) of Regulation M pursuant to Rule 102(e) of Regulation M
See also:  Incoming Letter
34-69060 Mar. 7, 2013 Order Granting a Temporary Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 from the Filing Deadline Specified in Rule 613(a)(1) of the Exchange Act
See also:  Incoming Letter
34-68995 Feb. 27, 2013 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ALPS ETF Trust and U.S. Equity High Volatility Put Write Index Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rule 101(d) and 102(e) of Regulation M
File No.: TP 13-04
See also:  Incoming Letter
34-68934 Feb. 14, 2013 Order Extending Temporary Exemptions From Certain Rules Of Regulation SHO Related To Hurricane Sandy
File No.: TP 13-06
See also:  Incoming Letter
34-68864 Feb. 7, 2013 Order Extending Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with the Revision of the Definition of “Security” to Encompass Security-Based Swaps, and Request for Comment
File No.: S7-27-11 See also:  Exemptive Order Release No. 34-64795 and comments

 

http://www.sec.gov/rules/exorders/exordersarchive/exorders2013.shtml


Modified: 10/16/2014