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
34-87204 Oct. 2, 2019 Notice of Proposed Exemptive Order Granting a 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 (Conformed to Federal Register version)
File No: S7-16-19
Comments Due: December 9, 2019
Comments received are available for this proposal.
Third Quarter
34-87110 Sep. 25, 2019 Order Granting a Conditional Exemption from Exchange Act Section 11(D)(1) and Exchange Act Rules 10B-10, 15C1-5, 15C1-6, AND 14E-5 for Certain Exchange Traded Funds
34-86896 Sep. 6, 2019 Order Granting Application by Nasdaq BX, Inc. 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 the Nasdaq Rule 1000 Series Incorporated by Reference
34-86874 Sep. 4, 2019 Order Granting Application by The Financial Information Forum and Security Traders Association for an Exemption Pursuant to Rule 606(c) of Regulation NMS Under the Exchange Act from Certain Requirements of Rule 606 of Regulation NMS Under the Exchange Act
34-86422 Jul. 22, 2019 Order Granting Application 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
Second Quarter
34-86204 June 26, 2019 Cboe 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
34-86201 June 26, 2019 NYSE Arca, Inc. (Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Liquidity Program Until September 30, 2019)
File No.: SR-NYSEArca-2013-107
34-85877 May 16, 2019 Order Granting Application by Chicago Stock Exchange, 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
34-85611 Apr. 11, 2019 Order Granting Application by NYSE Chicago, Inc. for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act from Certain Requirements of Rule 6a-2 under the Exchange Act
First Quarter
34-85406 Mar. 25, 2019 Order Granting CNL Strategic Capital LLC a Limited Exemption from Rule 102(a) of Regulation M pursuant to Rule 102(e)
File No.: TP 19-03
See also:  Incoming Letter
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