Exchange Act Exemptive Notices and Orders

Exemptive notices and orders currently available include:

Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

Release No. Date Details
Fourth Quarter
34-90785 Dec. 22, 2020 Acknowledgement of Receipt of Notice of Registration as a National Securities Exchange Pursuant to Section 6(g) of the Securities Exchange Act of 1934 by the Minneapolis Grain Exchange, LLC
34-90769 Dec. 22, 2020 Notice of Proposed Conditional Exemptive Order Granting a Conditional Exemption from the Information Review Requirement of Amended Rule 15c2-11(a)(1)(i) and the Recordkeeping Requirement of Amended Rule 15c2-11(d)(1)(i)(A) under the Securities Exchange Act of 1934 for Certain Publications or Submissions of Broker-Dealer Quotations on an Expert Market
File No: S7-23-20
Comments Due: 30 days following the date of publication in the Federal Register
Comments received are available for this proposal.
See also: Request for Exemptive Relief from OTC Link LLC
34-90689 Dec. 16, 2020 Order Granting Temporary 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 Section 8.1.1 and Section 8.1.2 of Appendix D of the National Market System Plan Governing the Consolidated Audit Trail
34-90688 Dec. 16, 2020 Order Granting Temporary 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 Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail
34-90510 Nov. 24, 2020 Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") with Respect to Futures Contracts on the SPIKESTM Index
34-90405 Nov. 12, 2020 Order Granting a Temporary Conditional Exemption 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 Certain Activities on the Floor of National Securities Exchanges and Certain Activities by Industry Members Off Exchange Floors, as Required by Section 6.4(d) of the National Market System Plan Governing the Consolidated Audit Trail
34-90308 Nov. 2, 2020 Order Granting Exemptions from Sections 8 and 15(a)(1) of the Securities Exchange Act of 1934 and Rules 3b-13(b)(2), 8c-1, 10b-10, 15a-1(c), 15a-1(d) and 15c2-1 Thereunder in Connection with the Revision of the Definition of "Security" to Encompass Security-Based Swaps and Determining the Expiration Date for a Temporary Exemption from Section 29(b) of the Securities Exchange Act of 1934 in Connection with Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
File Nos.: S7-27-11 and S7-24-11
34-90276 Oct. 28, 2020 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
File No.: S7-13-12
Comments received are available for this proposal.
See also: Exemptive Order Rel. No. 2020-248
34-90223 Oct. 19, 2020 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
34-90130 Oct. 8, 2020 Order Granting Application of Robinhood Financial LLC and Robinhood Securities LLC for a Limited Exemption from Exchange Act Rule 10b-10(a) Pursuant to Rule 10b-10(f)
See also: Incoming Letter
34-90112 Oct. 7, 2020 Notice of Proposed Exemptive Order Granting Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders
File No: S7-13-20
Comments Due: November 12, 2020
Comments received are available for this proposal.
Federal Register version (85 FR 64542)
See also: Press Release 2020-248
Third Quarter
34-89942 Sep. 21, 2020 Order Granting Application of MIAX PEARL, LLC for a Limited Exemption from Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f)
See also: Incoming Letter
34-89926 Sep. 18, 2020 Order Granting Application of MEMX LLC for a Limited Exemption from Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f)
34-89902 Sep. 17, 2020 Order Granting Applications by Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, and Nasdaq PHLX LLC 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
34-89790 Sep. 8, 2020 Order Granting Application of Long-Term Stock Exchange, Inc. for a Limited Exemption from Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f)
See also: Incoming Letter
34-89659 Aug. 25, 2020 Order Granting Exemptions from Certain Rules Related to the Sale and Delivery of Physical Securities under Regulation SHO Related to COVID-19
File No.: TP 20-02
Second Quarter
34-89184 Jun. 29, 2020 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
34-89170 Jun. 26, 2020 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
IC-33897 Jun. 19, 2020 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
34-89074 Jun. 16, 2020 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
34-89051 Jun. 11, 2020 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
34-88960 May 27, 2020 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
34-88884 May 15, 2020 Order Granting a Conditional Exemption from Exchange Act Section 11(d)(1) for Certain Asset Backed Securities and Other Collateral
See also: Incoming Letter
34-88703 Apr. 20, 2020 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
34-88702 Apr. 20, 2020 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
34-88608 Apr. 8, 2020 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
IC-33837 Apr. 8, 2020 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
First Quarter
34-88491 Mar. 26, 2020 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
34-88478 Mar. 25, 2020 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
34-88465 Mar. 25, 2020 Order Under Section 36 of the Securities Exchange Act of 1934 Modifying Exemptions from the Reporting and Proxy Delivery Requirements for Public Companies
34-88448 Mar. 20, 2020 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
34-88393 Mar. 17, 2020 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
34-88318 Mar. 4, 2020 Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder
34-88302 Feb. 28, 2020 Order Granting Limited Conditional Exemption From Rule 200 of Regulation SHO to Precidian ETF Trust II
File No.: TP 20-01
See also: Incoming Letter
34-88301 Feb. 28, 2020 Order Granting Limited Exemption from Section 11(d)(1) for ActiveShares ETF Trust
See also: Incoming Letter
34-87943 Jan. 10, 2020 Order Extending Temporary Exemptions from Exchange Act Section 8 and Exchange Act Rules 8c-1, 10b-16, 15a-1, 15c2-1 and 15c2-5 in Connection with the Revision of the Definition of “Security” to Encompass Security-Based Swaps
File No.: S7-27-11