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Exemptive Orders Archive: 2007

Additional Archives

Release No. Date Details
34-56376 Sep. 7, 2007 Order Granting a Conditional Exemption to Broker-Dealers from Requirements in Rules 15c3-1 and 15c3-3 under the Securities Exchange Act of 1934 to Promptly Transmit Customer Checks for the Purchase of Deferred Variable Annuity Contracts
34-56176 Jul. 31, 2007 Order Granting The NASDAQ Stock Market LLC's Application for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934
34-55884 Jun. 8, 2007 Order Exempting Certain Error Correction Transactions from Rule 611 of Regulation NMS under the Securities Exchange Act of 1934
34-55883 Jun. 8, 2007 Order Exempting Certain Print Protection Transactions from Rule 611 of Regulation NMS under the Securities Exchange Act of 1934

 

http://www.sec.gov/rules/exorders/exordersarchive/exorders2007.shtml


Modified: 10/16/2014