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Exemptive Orders Archive: 2005

Additional Archives

Exemptive orders currently available include:

Release No. Date Details
34-52840 Nov. 28, 2005 Order Granting an Application of Global Industries, Ltd. under Section 12(h) of the Securities Exchange Act of 1934
File No.: 81-934
See also:  Notice: Rel. No. 34-52733
34-52733 Nov. 4, 2005 Notice of an Application of Global Industries, Ltd. under Section 12(h) of the Securities Exchange Act of 1934
File No.: 81-934
Comments Due: November 25, 2005
See also:  Order: Rel. No. 34-52840
34-52514 Sep. 27, 2005 Order Granting Exemption to Liquidnet, Inc. from Certain Provisions of Regulation ATS under the Securities Exchange Act of 1934
34-52444 Sep. 15, 2005 Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder; Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions From Specified Provisions of the Company Act and Certain Rules Thereunder
Other Release No: IC-27067
34-52405 Sep. 9, 2005 Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks from the Definition of "Broker" under Section 3(a)(4) of the Securities Exchange Act of 1934
34-51998 Jul. 8, 2005 Notice of an Application of the New York Stock Exchange, Inc. for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 and Request for Comment
File No.:  S7-06-05
Comments Due:   August 15, 2005
Comments received are available for this notice.
* Click to submit comments on S7-06-05
34-51328 Mar. 8, 2005 Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks from the Definition of “Broker” under Section 3(a)(4) of the Securities Exchange Act of 1934
File No.: S7-12-01
See also: Final Rule, Rel. No. 34-44291 and comments;
Proposed Rule, Rel. No. 34-49879 and comments;
Other Rules, Rel. Nos. 34-50618, 34-47649, 34-47366, 34-46751, 34-46745, 34-45897, 34-44570
34-51253 Feb. 25, 2005 Order Exempting CIBC Mellon Trust Company from Broker-Dealer Registration

 

http://www.sec.gov/rules/exorders/exordersarchive/exorders2005.shtml


Modified: 04/15/2014