Exchange Act Exemptive Notices and Orders

Exemptive notices and orders currently available include:

Second Quarter |  First Quarter

Release No. Date Details
Second Quarter
34-80378 Apr. 5, 2017 Order Granting a Temporary Exemption to Covered Clearing Agencies from Compliance with Rule 17Ad-22(e)(3)(ii) and Certain Requirements in Rules 17Ad-22(e)(15)(i) and (ii) under the Securities Exchange Act of 1934
File No.: S7-03-14
See also:   Notice of Intent letters
First Quarter
34-80359 Mar. 31, 2017 Order Extending a Temporary Exemption from Compliance with Rules 13n-1 to 13n-12 under the Securities Exchange Act of 1934
34-80339 Mar. 29, 2017 Order Granting Application by C2 Options Exchange, Incorporated 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
34-80338 Mar. 29, 2017 Order Granting Application by MIAX PEARL, LLC 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
34-80142 Mar. 2, 2017 Order Granting Limited Exemptive Relief, Pursuant to Rule 608(e) of the Securities Exchange Act of 1934, from the Clock Synchronization Compliance Deadline Specified in Section 6.7(a)(ii) of the National Market System Plan Governing the Consolidated Audit Trail
34-80052 Feb. 16, 2017 Order Granting Limited Exemptions from Rule 102 of Regulation M Relating To NPM Securities, LLC's Alternatives Platform
File No.: TP 17-03
See also:  Incoming Letter
34-80042 Feb. 14, 2017 Order Granting Limited Conditional Exemption From Rule 200(c) Of Regulation SHO to Magnitude Special Investments Portfolio Fund, Ltd.
File No.: TP 17-04
See also:  Incoming Letter
34-80010 Feb. 10, 2017 Order Granting Limited Temporary Exemption from Exchange Act Section 12(j)
File No.: TP 17-06
See also:  Incoming Letter
34-79833 Jan. 18, 2017 Order Extending 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
Comments received are available. See also:  Release Nos. 34-71485, 34-68864, 34-64795