| Release No. |
Date |
Details |
Exemptive notices and orders currently available include:
|
34-73702 |
Nov. 28, 2014 |
NASDAQ OMX BX, Inc. — Order Granting Approval to Proposed Rule Change to Establish the Retail Price Improvement Program On a Pilot Basis Expiring Twelve Months From the Date of Implementation
See also: Incoming Letter
|
|
34-73649 |
Nov. 19, 2014 |
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.: File No. S7-04-09
Comments received are available.
See also: Extension Orders, Rel. Nos. 34-70919; 34-68286; 34-65765; and 34-63363; and Temporary Exemptive Order, Rel. No. 34-62120
|
|
34-73398 |
Oct. 21, 2014 |
Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Global X JP Morgan Efficiente Index and Global X JP Morgan US Sector Rotator Index ETFs Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
See also: Incoming Letter
|
|
34-73298 |
Oct. 3, 2014 |
Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ProShares Morningstar Alternatives Solution ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
See also:
Incoming Letter
|
|
34-73180 |
Sep. 23, 2014 |
Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS In Connection With the Exchange’s Retail Price Improvement Program Until December 31, 2014
See also:
Incoming Letter
|
|
34-72917 |
Aug. 26, 2014 |
Order Granting a Limited Exemption from Rule 102(a) of Regulation M to Jones Lang LaSalle Income Property Trust Pursuant to Rule 102(e) of Regulation M
See also:
Incoming Letter
|
|
34-72732 |
Jul. 31, 2014 |
Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs Until March 31, 2015
See also:
Incoming Letter
|
|
34-72693 |
Jul. 28, 2014 |
Order Granting a Limited Exemption from Rule 102 of Regulation M Concerning the BATS Exchange, Inc.’s Pilot Supplemental Competitive Liquidity Provider Program |
| 34-72658 |
Jul. 23, 2014 |
Notice of Proposed Exemptive Order Granting Permanent Exemptions Under the Securities Exchange Act of 1934 From the Confirmation Requirements of Exchange Act Rule 10b-10 for Certain Money Market Funds
File No.: File No. S7-08-14
Comments due: August 19, 2014
Comments received are available for this proposal.
|
| 34-72655 |
Jul. 22, 2014 |
Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to First Trust Dorsey Wright International Focus 5 ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
See also: Incoming Letter
|
|
34-72650 |
Jul. 22, 2014 |
Order Granting Applications by NASDAQ OMX BX, Inc. and The NASDAQ Stock Market LLC 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 |
| 34-71827 |
Mar. 28, 2014 |
Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Price Improvement Program
File No.: SR-NASDAQ-2012-129
See also: Incoming Letter |
| 34-71805 |
Mar. 26, 2014 |
Order Granting a Limited Exemption from Rule 102 of Regulation M Concerning the NYSE Arca, Inc.’s Crowd Participant Program Pilot
See also: SRO Order 34-71804
|
| 34-71652 |
Mar. 5, 2014 |
Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to First Trust Dorsey Wright Focus Five ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
See also: Incoming Letter |
| 34-71485 |
Feb. 5, 2014 |
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.: File No. S7-27-11
See also: Release Nos. 34-79833, 34-68864, 34-64795 |
| 34-71250 |
Jan. 7, 2014 |
Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection with the Exchange’s Retail Price Improvement Program
File No.: SR-BYX-2012-019
See also: Incoming Letter |
