Exchange Act Exemptive Notices and Orders Archive: 2016
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
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| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| 34-79360 | Nov. 21, 2016 | Order Granting Limited Exemption from Exchange Act Rule 15c2-11 to Certain Interdealer Quotation Systems Pursuant to Exchange Act Rule 15c2-11(h)
File No.: TP 16-16 See also: Incoming Letter |
| 34-79200 | Oct. 31, 2016 | Order Granting a Limited Exemption from Rule 102 of Regulation M Concerning NASDAQ Stock Market LLC’s New Product Support Incentives Pursuant to Regulation M Rule 102(e) |
| 34-79159 | Oct. 26, 2016 | Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Premise Capital Frontier Advantage Diversified Tactical ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M
File No.: TP 16-14 See also: Incoming Letter |
| Third Quarter | ||
| 34-78975 | Sep. 29, 2016 | Order Extending a Temporary Exemption from Compliance with Rules 13n-1 to 13n-12 under the Securities Exchange Act of 1934 |
| 34-78882 | Sep. 20, 2016 | Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Amplify YieldShares Prime 5 Dividend ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M File No.: TP 16-13 See also: Incoming Letter |
| 34-78678 | Aug. 25, 2016 | Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs Until December 31, 2016 File No.: SR-NYSE-2011-55; SR-NYSEAmex-2011-84 |
| 34-78677 | Aug. 25, 2016 | Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Liquidity Program Until December 31, 2016 File No.: SR-NYSEArca-2013-107 |
| 34-78670 | Aug. 24, 2016 | Order Granting Conditional Exemption of Morningstar Credit Ratings, LLC from a Requirement in Section 15E(a)(1)(C)(iv) of the Securities Exchange Act of 1934 and Item 6C of Form NRSRO |
| 34-78417 | Jul. 26, 2016 | Order Granting Application of Investors' Exchange LLC for a Limited Exemption from Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f) See also: related no-action letter and incoming letter |
| 34-78332 | Jul. 14, 2016 | Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Janus Detroit Street Trust, the Janus Velocity Tail Risk Hedged Large Cap ETF, and the Janus Velocity Volatility Hedged Large Cap ETF File No.: TP 16-10 See also: Incoming Letter |
| 34-78311 | Jul. 13, 2016 | Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to PowerShares DWA Momentum & Low Volatility Rotation Portfolio Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M File No.: TP 16-9 See also: Incoming Letter |
| Second Quarter | ||
| 34-78215A | Jun. 30, 2016 | Order Extending a Temporary Exemption from Compliance with Rules 13n-1 to 13n-12 under the Securities Exchange Act of 1934 |
| 34-78195 | Jun. 29, 2016 | Order Granting Bank of Montreal, Vaulted Gold Bullion Trust, BMO Capital Markets, and Certain Broker-Dealers, a Limited Exemption from Rules 101(a) and 102(a) of Regulation M Pursuant to Rules 101(d) and 102(e) of Regulation M File No.: TP 15-18 See also: Incoming Letter |
| 34-78178 | Jun. 28, 2016 | BATS BYX-Exchange, Inc. (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 |
| 34-78041 | Jun. 13, 2016 | Order Granting Limited and Conditional Exemption Under Section 36(a) of the Securities Exchange Act of 1934 from Compliance with Interactive Data File Exhibit Requirement in Forms 6-K, 8-K, 10-Q, 10-K, 20-F and 40-F to Facilitate Inline Filing of Tagged Financial Data See also: EDGAR Filer Manual |
| 34-77942 | May 27, 2016 | Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to SPDR Series Trust and SPDR Dorsey Wright Fixed Income Allocation ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M File No.: TP 16-8 See also: Incoming Letter |
| 34-77779 | May 6, 2016 | Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to IndexIQ ETF Trust, IQ Enhanced Core Bond U.S. ETF, IQ Enhanced Core Plus Bond U.S. ETF, IQ Leaders Bond Allocation Tracker ETF, and IQ Leaders GTAA Tracker ETF, Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M File No.: TP 16-06 See also: Incoming Letter |
| First Quarter | ||
| 34-77474 | Mar. 30, 2016 | Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to J.P. Morgan Exchange-Traded Fund Trust, JPMorgan Diversified Return International Currency Hedged ETF, and JPMorgan Diversified Return Europe Currency Hedged ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M See also: Incoming Letter |
| 34-77438 | Mar. 24, 2016 | New York Stock Exchange LLC; NYSE MKT LLC; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs Until August 31, 2016 File No.: SR-NYSE-2011-55, SR-NYSE-2011-84 |
| 34-77437 | Mar. 24, 2016 | Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection with the Exchange's Retail Liquidity Program. File Nos.: SR-NYSEArca-2013-107 |
| 34-77400 | Mar. 18, 2016 | Order Granting a Temporary Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 from Compliance with Rules 13n-1 to 13n-12 under the Securities Exchange Act of 1934 |
| 34-77380 | Mar. 16, 2016 | Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to First Trust Dorsey Wright Dynamic 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 |
| 34-77328 | Mar. 9, 2016 | Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to PowerShares DWA Tactical Multi-Asset Income Portfolio Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M See also: Incoming Letter |
| 34-77265 | Mar. 1, 2016 | Order Granting Exemptions from Certain Provisions of Rule 613 Pursuant to Section 36(a)(1) of
the Securities Exchange Act of 1934 See also: Incoming Letter |
| 34-77265 | Mar. 1, 2016 | Order Granting Exemptions from Certain Provisions of Rule 613 Pursuant to Section 36(a)(1) of
the Securities Exchange Act of 1934 See also: Incoming Letter |
| 34-77240 | Feb. 25, 2016 | Order Granting Limited Exemptions from Exchange Act Section 11(d), Exchange Act Rules
10b-10, 10b-17, and 11d1-2, and Rules 101 and 102 of Regulation M to Eaton Vance ETMF
Trust, Eaton Vance NextShares Trust II, Eaton Vance Balanced NextShares, and Other
Exchange-Traded Managed Funds Pursuant to Exchange Act Section 36, Exchange Act Rules
10b-10(f) and 10b-17(b)(2), and Rules 101(d) and 102(e) of Regulation M File No.: TP 15-06 See also: Incoming Letter |
| 34-77173 | Feb. 18, 2016 | Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to WisdomTree Put Write Strategy Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M File No.: TP 15-15 See also: Incoming Letter |
| 34-76953 | Jan. 21, 2016 | BATS Y-Exchange, Inc.: 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: Release Nos. 34-67734, 34-68049, 34-71250 |