Exchange Act Exemptive Notices and Orders

Exemptive notices and orders currently available include:

First Quarter

Release No. Date Details
First Quarter
34-85203 Feb. 26, 2019 Order Granting Applications by Nasdaq BX, Inc. 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 Order Audit Trail System Rules Incorporated by Reference
34-84991 Jan. 25, 2019 Order Granting a Limited Exemption from the Exchange Act Definition of "Penny Stock" for Security-Based Swap Transactions between Eligible Contract Participants; Granting a Limited Exemption from the Exchange Act Definition of "Municipal Securities" for Security-Based Swaps; and Extending Certain Temporary Exemptions under the Exchange Act in Connection with the Revision of the Definition of "Security" to Encompass Security-Based Swaps
File No.: S7-27-11