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Exemptive Orders Archive: 2012
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Release No. |
Date |
Details |
Exemptive orders currently available include:
34-68459 |
Dec. 18, 2012 |
Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ALPS ETF Trust, ALPS/GS Momentum Builder Growth Markets Equities and U.S. Treasuries Index ETF, ALPS/GS Momentum Builder Multi-Asset Index ETF, and ALPS/GS Momentum Builder Asia ex-Japan Equities and U.S. Treasuries Index ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP 13-02
See also:
Incoming Letter
|
34-68439 |
Dec. 14, 2012 |
Order Granting Limited Exemptions from Exchange Act Rules 101 and 102 of Regulation M to Shares of JPM XF Physical Copper Trust Pursuant to Exchange Act Rules 101(d) and 102(e)
File No.: TP 11-10
See also:
Incoming Letter
|
34-68433 |
Dec. 14, 2012 |
Order Granting Conditional Exemptions under the Securities Exchange Act of 1934 in Connection with Portfolio Margining of Swaps and Security-Based Swaps
File No.: S7-13-12
Effective Date: December 19, 2012
Comments due: February 19, 2013
See also: Temporary Conditional Approval Letters
- Barclays Capital Inc.:
March 8, 2013;
June 7, 2013;
December 6, 2013;
January 31, 2014
- Citigroup Global Markets Inc.:
March 8, 2013;
June 7, 2013;
December 6, 2013;
January 31, 2014
- Credit Suisse Securities (USA) LLC:
March 8, 2013;
June 7, 2013;
December 6, 2013;
January 31, 2014
- Deutsche Bank Securities Inc.
June 7, 2013;
December 6, 2013;
January 31, 2014
- Goldman, Sachs & Co.:
March 8, 2013;
June 7, 2013;
December 6, 2013;
January 31, 2014
- J.P. Morgan Securities LLC:
March 8, 2013;
June 7, 2013;
December 6, 2013;
January 31, 2014
- Morgan Stanley & Co. LLC:
March 8, 2013;
June 7, 2013;
December 6, 2013;
January 31, 2014
- UBS Securities LLC:
March 8, 2013;
June 7, 2013;
December 6, 2013;
January 31, 2014
- Wells Fargo Securities, LLC: February 24, 2017
- Bank of America — Merrill Lynch, Pierce, Fenner & Smith: April 24, 2017
- BofA Securities, Inc.: May 9, 2019
- BNP Paribas Securities Corp.: April 9, 2019
-
Responses to CDS Portfolio Margining Questions under the Temporary Conditional Approval Letters
Comments received
are available.
|
34-68419 |
Dec. 12, 2012 |
Order Granting Exemptions from Certain Rules of Regulation SHO Related to Hurricane Sandy
File No.: TP 13-05
See also:
Incoming Letter
|
34-68286 |
Nov. 26, 2012 |
Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations from Requirements Of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment
File No.: S7-04-09
See also: Extension Orders, Rel. Nos.
34-63363
and
34-65765; and Temporary Exemptive Order,
Rel. No. 34-62120
Comments received
are available.
|
34-67804 |
Sep. 7, 2012 |
Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to iShares, Inc. and iShares MSCI Frontier 100 Index Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rule 101(d) and 102(e) of Regulation M
File No.: TP 12-10
See also:
Incoming Letter
|
34-67620 |
Aug. 8, 2012 |
Order Granting Business Development Corporation of America a Limited Exemption from Rule 102(a) of Regulation M pursuant to Rule 102(e)
File No.: TP 12-12
See also:
Incoming Letter
|
34-67480 |
Jul. 20, 2012 |
Order Extending Temporary Conditional Exemption in Connection With the Effectiveness of the Definition of Eligible Contract Participant
File No.: S7-24-11
See also:
Order: Release No. 34-64678;
Security-Based Swaps Implementation Policy Statement
|
34-67215 |
Jun. 19, 2012 |
Order Granting a Limited Exemption from Exchange Act Rule 10b-17 to Certain Actively Managed Exchange-Traded Funds Pursuant to Exchange Act Rule 10b-17(b)(2)
File No.: TP 11-07
See also:
PIMCO ETF Trust Request Letter
|
34-67163 |
Jun. 7, 2012 |
FS Investment Corporation II (Order Granting FS Investment Corporation II a Limited Exemption from Rule 102(a) of Regulation M pursuant to Rule 102(e))
File No.: TP 12-11
See also:
FS Investment Corporation II Request Letter
|
34-66839 |
Apr. 20, 2012 |
Broker-Dealers (Order Temporarily Exempting Broker-Dealers from the Recordkeeping, Reporting, and Monitoring Requirements of Rule 13h-1 under the Securities Exchange Act of 1934 and Granting an Exemption for Certain Securities Transactions)
|
34-66624 |
Mar. 20, 2012 |
Edward Jones & Co. LP (Order Granting an Application of Edward Jones & Co. LP Exemption from Exchange Act Section 11(d)(1) pursuant to Exchange Act Section 36(a))
See also: Edward Jones & Co., L.P. Request Letter |
34-66541 |
Mar. 8, 2012 |
BF Enterprises, Inc. (Order Granting an Application of BF Enterprises, Inc. under Section 12(h) of the Securities Exchange Act of 1934)
See also: Notice,
Release No. 34-64479 |
34-66514 |
Mar. 5, 2012 |
Order Granting Temporary Exemption of Morningstar Credit Ratings, LLC from the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934
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http://www.sec.gov/rules/exorders/exordersarchive/exorders2012.shtml
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