|
Release Number:34-92711
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting Exemption from Section 16 of the Securities Exchange Act of 1934 for PG&E Fire Victim Trust
|
|
Release Number:34-91877
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting Application by Nasdaq PHLX LLC for an 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
Federal Register version (86 FR 26997)
|
|
Release Number:34-90276
|
SEC Issue Date:
|
File Number:S7-13-12
|
Details: Proposed Order Granting Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With the Portfolio Margining of Swaps and Security-Based Swaps That Are Credit Default Swaps
See Also -
Exemptive Order Rel. No. 2020-248
Federal Register version (85 FR 70657)
|
|
Release Number:34-90223
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Reporting of Allocations Pursuant to the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (85 FR 67576)
|
|
Release Number:34-89659
|
SEC Issue Date:
|
File Number:TP-20-02
|
Details: Order Granting Exemptions From Certain Rules Related to the Sale and Delivery of Physical Securities Under Regulation SHO Related to COVID-19
Federal Register version (85 FR 53888)
|
|
Release Number:IA-5565
|
SEC Issue Date:
|
File Number:803-00250
|
Details: Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Order Under Section 206A of the Investment Advisers Act of 1940 Granting an Exemption from Section 205 of the Act and Rule 205-1 Thereunder)
|
|
Release Number:34-89184
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Section 17(h)(4) of the Securities Exchange Act of 1934 Granting Exemption from Rule 17h-1T and Rule 17h-2T for Certain Broker-Dealers Maintaining Capital, Including Subordinated Debt of Greater Than $20 Million But Less Than $50 Million
Federal Register version (85 FR 40356)
|
|
Release Number:34-89170
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Section 17a and Section 36 of The Securities Exchange Act of 1934 Extending Temporary Exemptions From Specified Provisions of The Exchange Act and Certain Rules Thereunder
Federal Register version (85 FR 39960)
|
|
Release Number:IC-33897
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Sections 15(c) and 32(a) of the Investment Company Act and Rules 12b-1(b)(2) and 15a-4(b)(2)(ii) Thereunder
|
|
Release Number:34-89074
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting a Temporary Conditional Exemption From the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors
Federal Register version (85 FR 37133)
|
|
Release Number:34-89051
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, From Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (85 FR 36631)
|
|
Release Number:34-88960
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder
Federal Register version (85 FR 33234)
|
|
Release Number:34-88884
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting a Conditional Exemption From Exchange Act Section 11(d)(1) for Certain Asset Backed Securities and Other Collateral
See Also -
Incoming Letter
Federal Register version (85 FR 31019)
|
|
Release Number:34-88703
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting Limited Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, Related to Certain Introducing Brokers, From the Requirements of the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (85 FR 23115)
|
|
Release Number:34-88702
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, From Sections 6.4, 6.7(a)(v) and 6.7(a)(vi) of the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (85 FR 23075)
|
|
Release Number:IC-33837
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Sections 6(c), 17(d), 38(a), and 57(i) of the Investment Company Act of 1940 and Rule 17d-1 Thereunder Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder
|
|
Release Number:34-88608
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act to Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to Granularity of Timestamps Specified in Section 6.8(b) and Appendix D, Section 3 of the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (85 FR 20743)
|
|
Release Number:34-88491
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Section 15b of The Securities Exchange Act of 1934 Granting an Exemption for Municipal Advisors From Specified Provisions of The Securities Exchange Act and Rule 15ba1-5(A)(1) Thereunder
Federal Register version (85 FR 18299)
|
|
Release Number:34-88465
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Section 36 of the Securities Exchange Act of 1934 Modifying Exemptions From the Reporting and Proxy Delivery Requirements for Public Companies
Federal Register version (85 FR 17610)
|
|
Release Number:IA-5469
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Section 206a of the Investment Advisers Act of 1940 Granting Exemptions From Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder
Federal Register version (85 FR 17609)
|
|
Release Number:IC-33824
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Section 6(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus Delivery
Federal Register version (85 FR 17611)
|
|
Release Number:34-88478
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting Application by The Financial Information Forum and Security Traders Association for a Temporary Exemption Pursuant to Rule 606(c) of Regulation NMS Under the Exchange Act in Response to the Effects of COVID-19
Federal Register version (85 FR 17927)
|
|
Release Number:IC-33821
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Sections 6(c), 12(d)(1)(J), 17(b), 17(d) AND 38(a) of the Investment Company Act of 1940 and Rule 17d-1 Thereunder Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder
See Also -
Staff Statement Regarding Termination Notice For Exemptive Relief and Withdrawal of Staff Letters Related To COVID-19 Response
|
|
Release Number:34-88448
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder
Federal Register version (85 FR 17122)
|
|
Release Number:34-88393
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting Conditional Exemptive Relief, Pursuant to Section 36 and Rule 608(e) of the Securities Exchange Act of 1934, From Section 6.4(d)(ii)(C) and Appendix D Sections 4.1.6, 6.2, 8.1.1, 8.2, 9.1, 9.2, 9.4, 10.1, and 10.3 of the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (85 FR 16152)
|
|
Release Number:IA-5463
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder
|
|
Release Number:IC-33817
|
SEC Issue Date:
|
File Number:
|
Details: Order under Section 6(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus Delivery
|
|
Release Number:34-88318
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder
Federal Register version (85 FR 13680)
|
|
Release Number:33-9808
|
SEC Issue Date:
|
File Number:
|
Details: In the Matter of Monica J. Lindeen , Montana State Auditor, Ex Officio Commissioner of Securities and Insurance's Motion for Stay of the Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A) (Order Denying Stay)
|
|
Release Number:34-74115
|
SEC Issue Date:
|
File Number:SR-BYX-2012-019
|
Details: BATS Y-Exchange, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program
Federal Register version (80 FR 4324)
|
|
Release Number:34-72984
|
SEC Issue Date:
|
File Number:
|
Details: Order Pursuant to Section 13(f)(3) 13(f)(5) and 36 of the Securities Exchange Act of 1934 Denying Application for Exemption from Rule 13f-1 Under the Act
|
|
Release Number:34-72658
|
SEC Issue Date:
|
File Number:S7-08-14
|
Details: Notice of Proposed Exemptive Order Granting Permanent Exemptions Under the Securities Exchange Act of 1934 From the Confirmation Requirements of Exchange Act Rule 10b-10 for Certain Money Market Funds
Comments Due: August 19, 2014
View Received Comments
Federal Register version (79 FR 44076)
|
|
Release Number:IC-31088
|
SEC Issue Date:
|
File Number:
|
Details: Copley Fund, Inc. (Order under Section 6(c) of the Investment Company Act of 1940 Denying a Request for a Hearing and Denying an Exemption from Rule 22c-1 under the Act and Rule 4-01(a)(1) of Regulation S-X)
|
|
Release Number:33-9428
|
SEC Issue Date:
|
File Number:
|
Details: Goldstream Mining Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-183086)
|
|
Release Number:33-9427
|
SEC Issue Date:
|
File Number:
|
Details: Gold Camp Explorations Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-185851)
|
|
Release Number:33-9432
|
SEC Issue Date:
|
File Number:
|
Details: Gaspard Mining Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186201)
|
|
Release Number:34-67480
|
SEC Issue Date:
|
File Number:S7-24-11
|
Details: Order Extending Temporary Conditional Exemption in Connection With the Effectiveness of the Definition of Eligible Contract Participant
See Also -
Release No. 34-64678, Security-Based Swaps Implementation Policy Statement
Federal Register version (77 FR 43878)
|
|
Release Number:34-66976
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting Application of BOX Options Exchange, LLC for a Limited Exemption From Exchange Act Rule 10b-10(a)(2)(i)(A) Pursuant to Rule 10b-10(f)
See Also -
Request for Limited Exemption
Federal Register version (77 FR 29397)
|
|
Release Number:34-66514
|
SEC Issue Date:
|
File Number:
|
Details: 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
Federal Register version (77 FR 14580)
|
|
Release Number:IA-3369
|
SEC Issue Date:
|
File Number:801-71579
|
Details: Gravity Capital Partners, LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
|
|
Release Number:34-65339
|
SEC Issue Date:
|
File Number:
|
Details: 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
Federal Register version (76 FR 58319)
|
|
Release Number:34-61930
|
SEC Issue Date:
|
File Number:
|
Details: Wynnefield Capital Management LLC and Wynnefield Capital, Inc. (Order Pursuant to Sections 13(f)(2), 13(f)(4) and 36 of the Securities Exchange Act of 1934 Denying Application for Exemption From Rule 13f-1 Under the Securities Exchange Act of 1934)
|
|
Release Number:34-61803
|
SEC Issue Date:
|
File Number:S7-06-09
|
Details: Order Extending 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
View Received Comments
Federal Register version (75 FR 17181)
|
|
Release Number:34-61366
|
SEC Issue Date:
|
File Number:
|
Details: Full Value Advisors, LLC (Stay Order)
|
|
Release Number:34-61327
|
SEC Issue Date:
|
File Number:
|
Details: Full Value Advisors, LLC (Order Pursuant to Sections 13(f)(2), 13(f)(4) and 36 of the Securities Exchange Act of 1934 Denying Application for Exemption from Rule 13f-1 Under the Securities Exchange Act of 1934)
|
|
Release Number:34-61164
|
SEC Issue Date:
|
File Number:S7-06-09
|
Details: 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
Federal Register version (74 FR 67258)
|
|
Release Number:34-60194
|
SEC Issue Date:
|
File Number:
|
Details: 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
Federal Register version (74 FR 32200)
|
|
Release Number:34-60152
|
SEC Issue Date:
|
File Number:
|
Details: 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
Federal Register version (74 FR 30334)
|
|
Release Number:34-59578
|
SEC Issue Date:
|
File Number:S7-06-09
|
Details: 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
Federal Register version (74 FR 11781)
|
|
Release Number:34-59527
|
SEC Issue Date:
|
File Number:S7-05-09
|
Details: Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of ICE U.S. Trust LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments
See Also -
Request for Exemptive Relief
Federal Register version (74 FR 10791)
|
|
Release Number:34-59164
|
SEC Issue Date:
|
File Number:S7-34-08
|
Details: Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection with Request of Liffe Administration and Management and Lch.Clearnet Ltd. Related to Central Clearing of Credit Default Swaps, and Request for Comments
See Also -
and Request for Exemptive Relief, Exemptive Order Release No. 34-59164
Federal Register version (74 FR 139)
|
|
Release Number:34-59165
|
SEC Issue Date:
|
File Number:S7-35-08
|
Details: Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Granting Temporary Exemptions From Sections 5 and 6 of the Exchange Act for Broker-Dealers and Exchanges Effecting Transactions in Credit Default Swaps
View Received Comments
Federal Register version (74 FR 133)
|
|
Release Number:34-58001
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting Temporary Exemption of Realpoint LLC From the Conflict of Interest Prohibition in Rule 17a-5(c)(1) Under the Securities Exchange Act of 1934
Federal Register version (73 FR 36362)
|
|
Release Number:34-57301
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting Temporary Exemption of LACE Financial Corp. From the Conflict of Interest Prohibition in Rule 17a-5(c)(1) of the Securities Exchange Act of 1934
Federal Register version (73 FR 8721)
|
|
Release Number:39-2450
|
SEC Issue Date:
|
File Number:22-28859
|
Details: Grupo Iusacell Celular, S.A. de C.V. (Order Granting Application for Exemption)
|
|
Release Number:34-56779
|
SEC Issue Date:
|
File Number:S7-26-07
|
Details: Notice of Application of the National Association of Realtors for Exemptive Relief Under Sections 15 and 36 of the Exchange Act and Request for Comment
Comments Due: December 17, 2007
View Received Comments
See Also -
S Application
Federal Register version (72 FR 64688)
|
|
Release Number:34-55991
|
SEC Issue Date:
|
File Number:S7-12-01
|
Details: Order Extending Temporary Exemption of Banks From the Definition of "Broker" Under Section 3(a)(4) of the Securities Exchange Act of 1934
Federal Register version (72 FR 36742)
|
|
Release Number:34-55165
|
SEC Issue Date:
|
File Number:
|
Details: Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608(e) Thereunder Extending a de minimis Exemption for Transactions in Certain Exchange-Traded Funds From the Trade-Through Provisions of the Intermarket Trading System
Federal Register version (72 FR 4545)
|
|
Release Number:34-54948
|
SEC Issue Date:
|
File Number:S7-12-01
|
Details: Order Extending Temporary Exemption of Banks From the Definition of "Broker" Under Section 3(a)(4) of the Securities Exchange Act of 1934
See Also -
Federal Register version, Proposed Rule Release No. 34-54946, Proposed Rule Release No. 34-54947
Federal Register version (71 FR 77557)
|
|
Release Number:34-54714
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting National Securities Exchanges a Limited Exemption From Rule 612 of Regulation NMS Under the Securities Exchange Act of 1934 To Permit Acceptance by Exchanges of Certain Sub-Penny Orders
Federal Register version (71 FR 66352)
|
|
Release Number:34-54063
|
SEC Issue Date:
|
File Number:
|
Details: Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608(e) Thereunder Extending a De Minimis Exemption for Transactions in Certain Exchange-Traded Funds From the Trade-Through Provisions of the Intermarket Trading System
Federal Register version (71 FR 38433)
|
|
Release Number:34-53828
|
SEC Issue Date:
|
File Number:
|
Details: Regulation NMS (Order Granting Exemption from Compliance)
See Also -
Spotlight on Regulation NMS
|
|
Release Number:34-52382
|
SEC Issue Date:
|
File Number:
|
Details: Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608(e) Thereunder Extending a De Minimis
Federal Register version (70 FR 53695)
|
|
Release Number:34-51893
|
SEC Issue Date:
|
File Number:
|
Details: List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities
Federal Register version (70 FR 37128)
|
|
Release Number:IC-26824
|
SEC Issue Date:
|
File Number:
|
Details: Morgan Stanley Investment Advisors Inc. (Order Pursuant to Section 9(c) of the Investment Company Act of 1940 Granting a Permanent Exemption from Section 9(a) of the Act)
|
|
Release Number:34-50795
|
SEC Issue Date:
|
File Number:
|
Details: Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder Extending a de minimis Exemption for Transactions in Certain Exchange-Traded Funds from the Trade-Through Provisions of the Intermarket Trading System
Federal Register version (69 FR 71445)
|
|
Release Number:34-49859
|
SEC Issue Date:
|
File Number:
|
Details: Order Temporarily Exempting Standardized Options and Security Futures From Rule 12d2-2 Under the Securities Exchange Act of 1934
Federal Register version (69 FR 34409)
|
|
Release Number:34-49846
|
SEC Issue Date:
|
File Number:
|
Details: List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities
Federal Register version (69 FR 33948)
|
|
Release Number:34-49356
|
SEC Issue Date:
|
File Number:
|
Details: Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder Extending a De Minimis
Federal Register version (69 FR 11057)
|
|
Release Number:35-27793
|
SEC Issue Date:
|
File Number:3-11373
|
Details: Public Utility Holding Company Act of 1935; Application of Stephen Forbes Cooper, LLC, PGE Trust, and Enron Corporation for Exemption Under the Public Utility Holding Company Act of 1935 (No. 70-10190); Notice of and Order Scheduling Hearing Regarding Request for Order Exempting Holding Companies from Registration Under the Public Utility Holding Company Act of 1935
See Also -
Federal Register PDF
Federal Register version (69 FR 2637)
|
|
Release Number:34-48063
|
SEC Issue Date:
|
File Number:
|
Details: List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities
Federal Register version (68 FR 37870)
|
|
Release Number:34-47950
|
SEC Issue Date:
|
File Number:
|
Details: Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder Extending a De Minimis Exemption for Transactions in Certain Exchange-Traded Funds From the Trade-Through Provisions of the Intermarket Trading System
Federal Register version (68 FR 33748)
|
|
Release Number:34-47319
|
SEC Issue Date:
|
File Number:
|
Details: Order Exempting Options Specialists From Section 11(b) of the Securities Exchange Act of 1934 When Accepting Certain Types of Complex Orders
Federal Register version (68 FR 7156)
|
|
Release Number:34-46921
|
SEC Issue Date:
|
File Number:
|
Details: Financial Information (Order Extending Exemption)
|
|
Release Number:34-46428
|
SEC Issue Date:
|
File Number:
|
Details: Exchange-Traded Funds (Order Granting De Minimis Exemption Under Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder)
|
|
Release Number:34-46015
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting Temporary Exemption of Broker-Dealers that are Futures Commission Merchants from the Disclosure Requirements of Rule 10b-10 Promulgated under the Securities Exchange Act of 1934 and the Disclosure Requirements of Section 11(d)(2) of the Securities Exchange Act of 1934 in Connection with Security Futures Transactions Effected in Futures Accounts
Federal Register version (67 FR 39752)
|
|
Release Number:34-45855
|
SEC Issue Date:
|
File Number:
|
Details: List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities
Federal Register version (67 FR 30733)
|
|
Release Number:34-45654
|
SEC Issue Date:
|
File Number:S7-17-00
|
Details: Order Granting Temporary Exemption for Broker-Dealers from the Trade-Through Disclosure Rule
See Also -
Rel. No. 34-43085, and comments
Federal Register version (67 FR 18059)
|
|
Release Number:34-44874
|
SEC Issue Date:
|
File Number:
|
Details: Exemptive Order Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 Issuing Exemptive Relief to Respond to Market Developments
|
|
Release Number:IC-25165
|
SEC Issue Date:
|
File Number:
|
Details: Order Extending Prior Order Under Sections 6(c), 17(b) and 38(a) of the Investment Company Act of 1940 Granting Exemptions from Certain Provisions of the Act and Certain Rules Thereunder
|
|
Release Number:IC-25156
|
SEC Issue Date:
|
File Number:
|
Details: Exemptions (Order Granting Exemptions Under Sections 6(c), 17(d) and 38(a) of the Investment Company Act of 1940)
|
|
Release Number:34-44729
|
SEC Issue Date:
|
File Number:
|
Details: Persons Engaging in Security Futures Product Transactions (Order Granting Temporary Exemption)
|
|
Release Number:34-44731
|
SEC Issue Date:
|
File Number:
|
Details: Futures Commission Merchants and Introducing Brokers (Order Granting Temporary Exemption from the Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934)
See Also -
34-44731
Note: Also Available in PDF Format: 34-44731
|
|
Release Number:34-44569
|
SEC Issue Date:
|
File Number:S7-12-01
|
Details: Extension of Comment Period on Interim Final Rules on Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934
Comments Due: On or before September 4, 2001
See Also -
Comments received electronically are available, Notice of Intent to Amend Rules, 34-46751, also Order Extending Temporary Exemption and Notice of Intent to Amend Rules, Order Extending Temporary Exemption and Notice of Intent to Amend Rules
Federal Register version (66 FR 38370)
|
|
Release Number:34-42906
|
SEC Issue Date:
|
File Number:
|
Details: In the Matter of the Investment Dealers Association of Canada; Order Granting Exemption
Federal Register version (65 FR 37678)
|
|
Release Number:34-41199
|
SEC Issue Date:
|
File Number:10-126
|
Details: Tradepoint Financial Networks plc; Order Granting Limited Volume Exemption From Registration as an Exchange Under Section 5 of the Securities Exchange Act
Federal Register version (64 FR 14953)
|
|
Release Number:34-40161
|
SEC Issue Date:
|
File Number:10-101
|
Details: Tradepoint Financial Networks plc; Notice of Application for Limited Volume Exemption From Registration as an Exchange Under Section 5 of the Securities Exchange Act
Comments Due: 30 days after publication in Federal Register
View Received Comments
See Also -
Comments received electronically are available
Federal Register version (63 FR 37146) Note: Comments received electronically are available
|
|
Release Number:34-39681
|
SEC Issue Date:
|
File Number:
|
Details: List of Foreign Issuers Which Have Submitted Information Under the Exemption Relating to Certain Foreign Securities
Federal Register version (63 FR 9879)
|
|
Release Number:34-38235
|
SEC Issue Date:
|
File Number:
|
Details: List of Foreign Issuers Which Have Submitted Information Required by the Exemption Relating to Certain Foreign Securities
Federal Register version (62 FR 6018)
|
