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
34-78417 Jul. 26, 2016 Order Granting Application of Investors' Exchange LLC for a Limited Exemption from Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f)
See also: related no-action letter and incoming letter
34-78332 Jul. 14, 2016 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Janus Detroit Street Trust, the Janus Velocity Tail Risk Hedged Large Cap ETF, and the Janus Velocity Volatility Hedged Large Cap ETF
File No.: TP 16-10
See also: Incoming Letter
34-78311 Jul. 13, 2016 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to PowerShares DWA Momentum & Low Volatility Rotation Portfolio Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP 16-9
See also: Incoming Letter
Second Quarter
34-78215 Jun. 30, 2016 Order Extending a Temporary Exemption from Compliance with Rules 13n-1 to 13n-12 under the Securities Exchange Act of 1934
34-78195 Jun. 29, 2016 Order Granting Bank of Montreal, Vaulted Gold Bullion Trust, BMO Capital Markets, and Certain Broker-Dealers, a Limited Exemption from Rules 101(a) and 102(a) of Regulation M Pursuant to Rules 101(d) and 102(e) of Regulation M
File No.: TP 15-18
See also:  Incoming Letter
34-78178 Jun. 28, 2016 BATS BYX-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)
File No.: SR-BYX-2012-019
34-78041 Jun. 13, 2016 Order Granting Limited and Conditional Exemption Under Section 36(a) of the Securities Exchange Act of 1934 from Compliance with Interactive Data File Exhibit Requirement in Forms 6-K, 8-K, 10-Q, 10-K, 20-F and 40-F to Facilitate Inline Filing of Tagged Financial Data
See also:  EDGAR Filer Manual
34-77942 May 27, 2016 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to SPDR Series Trust and SPDR Dorsey Wright Fixed Income Allocation ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP 16-8 See also:  Incoming Letter
34-77779 May 6, 2016 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to IndexIQ ETF Trust, IQ Enhanced Core Bond U.S. ETF, IQ Enhanced Core Plus Bond U.S. ETF, IQ Leaders Bond Allocation Tracker ETF, and IQ Leaders GTAA Tracker ETF, Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP 16-06 See also:  Incoming Letter
First Quarter
34-77474 Mar. 30, 2016 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to J.P. Morgan Exchange-Traded Fund Trust, JPMorgan Diversified Return International Currency Hedged ETF, and JPMorgan Diversified Return Europe Currency Hedged ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
See also:  Incoming Letter
34-77438 Mar. 24, 2016 New York Stock Exchange LLC; NYSE MKT LLC; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs Until August 31, 2016
File No.: SR-NYSE-2011-55, SR-NYSE-2011-84
34-77437 Mar. 24, 2016 Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection with the Exchange's Retail Liquidity Program.
File Nos.: SR-NYSEArca-2013-107
34-77400 Mar. 18, 2016 Order Granting a Temporary Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 from Compliance with Rules 13n-1 to 13n-12 under the Securities Exchange Act of 1934
34-77380 Mar. 16, 2016 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to First Trust Dorsey Wright Dynamic Focus 5 ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
See also:  Incoming Letter
34-77328 Mar. 9, 2016 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to PowerShares DWA Tactical Multi-Asset Income Portfolio Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
See also:  Incoming Letter
34-77265 Mar. 1, 2016 Order Granting Exemptions from Certain Provisions of Rule 613 Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934
See also:  Incoming Letter
34-77265 Mar. 1, 2016 Order Granting Exemptions from Certain Provisions of Rule 613 Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934
See also:  Incoming Letter
34-77240 Feb. 25, 2016 Order Granting Limited Exemptions from Exchange Act Section 11(d), Exchange Act Rules 10b-10, 10b-17, and 11d1-2, and Rules 101 and 102 of Regulation M to Eaton Vance ETMF Trust, Eaton Vance NextShares Trust II, Eaton Vance Balanced NextShares, and Other Exchange-Traded Managed Funds Pursuant to Exchange Act Section 36, Exchange Act Rules 10b-10(f) and 10b-17(b)(2), and Rules 101(d) and 102(e) of Regulation M
File No.: TP 15-06
See also:  Incoming Letter
34-77173 Feb. 18, 2016 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to WisdomTree Put Write Strategy Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP 15-15
See also:  Incoming Letter
34-76953 Jan. 21, 2016 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
File No.: SR-BYX-2012-019
See also:  Release Nos. 34-67734, 34-68049, 34-71250