Exchange Act Exemptive Notices and Orders

Exemptive notices and orders currently available include:

First Quarter

Release No. Date Details
First Quarter
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