Release No. |
Date |
Details |
34-71220 |
Dec. 31, 2013 |
Order Granting Temporary Exemption of Kroll Bond Rating Agency, Inc. from the
Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934 See also:
Incoming Letters |
34-71219 |
Dec. 31, 2013 |
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 See also:
Incoming Letters |
34-71143 |
Dec. 19, 2013 |
Order Granting Application by Financial Industry Regulatory Authority, 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 Certain Rules Incorporated by Reference
See also:
Incoming Letter |
34-71142 |
Dec. 19, 2013 |
Order Granting a Limited Exemption from Rule 102(a) of Regulation M to Certain Business Development Companies Pursuant to Rule 102(e) of Regulation M
See also:
Incoming Letter |
34-71018 |
Dec. 6, 2013 |
Order Granting a Temporary Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 from the Filing Deadline Specified in Rule 613(a)(1) of the Exchange Act
See also:
Incoming Letter |
34-70919 |
Nov. 22, 2013 |
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
Comments received
are available.
|
34-70701 |
Oct. 17, 2013 |
Order Providing Broker-Dealers a Temporary Exemption from the Requirements of Certain New Amendments to the Financial Responsibility Rules for Broker-Dealers under the Securities Exchange Act of 1934
|
34-70349 |
Sep. 9, 2013 |
Order Exempting Broker-Dealers Participating in the Proposed Global Offering of Meridian Energy Limited from the Arranging Prohibitions of Section 11(d)(1) of the Exchange Act
See also:
Incoming Letter |
34-70303 |
Sep. 3, 2013 |
Order Exempting Broker-Dealers Participating in NYSE Arca, Inc.’s Lead Market Maker Incentive Program from Section 11(d)(1) of the Securities Exchange Act of 1934 and Rule 11d1-2 thereunder
See also:
Incoming Letter |
34-70150 |
Aug. 8, 2013 |
Order Temporarily Exempting Certain Broker-Dealers and Certain Transactions from the Recordkeeping and Reporting Requirements of Rule 13h-1 under the Securities Exchange Act of 1934
|
34-70085 |
Jul. 31, 2013 |
Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs
File Nos.: SR-NYSE-2011-55, SR-NYSEAmex-2011-84
See also:
Incoming Letter
|
34-69892 |
Jun. 28, 2013 |
Order Exempting Market Makers Participating in NASDAQ Stock Market LLC’s Market Quality Program from Section 11(d)(1) of the Securities Exchange Act of 1934 and Rule 11d1-2 thereunder
See also:
Incoming Letter |
34-69872 |
Jun. 27, 2013 |
Order Pursuant to Section 17A of the Securities Exchange Act of 1934 Granting Exemption from the Clearing Agency Registration Requirement under Section 17A(b) of the Exchange Act for ICE Clear Europe Limited in Connection With its Proposal to Clear Contracts Traded on the LIFFE Administration and Management Market
See also:
Related SRO Rule Filing: Rel. No. 34-69888
|
34-69831 |
Jun. 21, 2013 |
Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ALPS ETF Trust, the VelocityShares Tail Risk Hedged Large Cap ETF, and the VelocityShares Volatility Hedged Large Cap ETF
See also:
Incoming Letter |
34-69707 |
Jun. 6, 2013 |
Order Granting a Limited Exemption from Rule 102 of Regulation M Concerning the NYSE Arca, Inc.’s Exchange Traded Product Incentive Program Pilot Pursuant to Regulation M Rule 102(e)
See also:
SRO Order: 34-69706 |
34-69477 |
Apr. 30, 2013 |
Notice of an Application of W2007 Grace Acquisition I, Inc. under Section 12(h) of the Securities Exchange Act of 1934
File No.: 81-939
Comments due: June 5, 2013
See also:
Application
and
Supplemental Letter
Comments received
are available.
|
34-69281 |
Apr. 3, 2013 |
Order Temporarily Exempting Certain Broker-Dealers from the Recordkeeping, Reporting, and Monitoring Requirements of Rule 13h-1 under the Securities Exchange Act of 1934
|
34-69196 |
Mar. 20, 2013 |
Order Granting a Limited Exemption from Rule 102 of Regulation M Concerning the NASDAQ Stock Market LLC Market Quality Program Pilot Pursuant to Regulation M Rule 102(e)
See also:
Related SRO Rule Filing: Rel. No. 34-69195
|
34-69199 |
Mar. 20, 2013 |
Order Granting TriLinc Global Impact Fund, LLC a Limited Exemption from Rule 102(a) of Regulation M pursuant to Rule 102(e) of Regulation M
See also:
Incoming Letter
|
34-69060 |
Mar. 7, 2013 |
Order Granting a Temporary Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 from the Filing Deadline Specified in Rule 613(a)(1) of the Exchange Act
See also:
Incoming Letter
|
34-68995 |
Feb. 27, 2013 |
Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ALPS ETF Trust and U.S. Equity High Volatility Put Write Index Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rule 101(d) and 102(e) of Regulation M
File No.: TP 13-04
See also:
Incoming Letter
|
34-68934 |
Feb. 14, 2013 |
Order Extending Temporary Exemptions From Certain Rules Of Regulation SHO Related To Hurricane Sandy
File No.: TP 13-06
See also:
Incoming Letter
|
34-68864 |
Feb. 7, 2013 |
Order Extending 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
See also: Release Nos. 34-79833, 34-71485,
34-64795
and
comments
|