Exchange Act Exemptive Notices and Orders

Exemptive notices and orders currently available include:

Third Quarter |  Second Quarter |  First Quarter

Release No. Date Details
Third Quarter
34-83887 Aug. 20, 2018 Order Granting Applications by Nasdaq ISE, LLC, Nasdaq GEMX, LLC, and Nasdaq MRX, 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
34-83884 Aug. 17, 2018 Order Granting Temporary Conditional Exemption for Japan Credit Rating Agency, Ltd. from Certain Requirements of Section 15E(t) of the Securities Exchange Act of 1934
34-83757 Aug. 1, 2018 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 CAT Rules Incorporated by Reference
34-83756 Aug. 1, 2018 Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection with the Exchange’s Retail Price Improvement Program
File No.: SR-BYX-2012-019)
Second Quarter
34-83543 Jun. 28, 2018 Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Liquidity Programs Until December 31, 2018
File No.: SR-NYSEArca-2013-107
See also:  Incoming Letter
34-83542 Jun. 28, 2018 Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Price Improvement Program Until December 31, 2018
File No.: SR-BX-2014-048
See also:  Incoming Letter
34-83541 Jun. 28, 2018 Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Liquidity Program Until December 31, 2018
File No.: SR-NYSE-2011-55
See also:  Incoming Letter
34-83296 May 21, 2018 Order Granting Application by NYSE National, Inc. 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
34-83216 May 11, 2018 Order Granting Limited Exemptions from Exchange Act Rule 10b-17(b)(1)(v)(A) and (B) and Rules 101 and 102 of Regulation M to First Trust Dorsey Wright DALI 1 ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP 18-12
See also:  Incoming Letter
34-83040 Apr. 12, 2018 Order Granting Application by MIAX PEARL, 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
First Quarter
34-82947 Mar. 26, 2018 Order Granting Limited Exemptions from Exchange Act Rule 10b-17(b)(1)(v)(A) and (B) and Rules 101 and 102 of Regulation M to PowerShares Wilshire Micro-Cap Portfolio Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP 18-11
See also:  Incoming Letter
34-82760 Feb. 22, 2018 Order Granting Limited Exemptions from Rule 10b-17(b)(1)(v)(A) and (B) and Rules 101 and 102 of Regulation M to Xtrackers High Yield Corporate Bond – Interest Rate Hedged ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP 18-09
See also:  Incoming Letter
34-82626 Feb. 2, 2018 Order Extending Until February 5, 2019, Certain 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:  Release Nos. 34-79833, 34-71485, 34-68864, 34-64795
34-82575 Jan. 23, 2018 Order Granting Limited Exemptions from Rules 101 and 102 of Regulation M in Connection with Distributions of AT1 Contingent Convertible Securities Pursuant to Rules 101(d) and 102(e) of Regulation M
File No.: TP 18-08
See also:  Incoming Letter
34-82515 Jan. 17, 2018 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Pacer WealthShield ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP 18-07
See also:  Incoming Letter