Exchange Act Exemptive Notices and Orders: Archive 2017
Exemptive notices and orders currently available include:
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
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| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| 34-82360 | Dec. 19, 2017 | Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Innovator IBD® ETF Leaders ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M File No.: TP 18-05 See also: Incoming Letter |
| 34-82359 | Dec. 19, 2017 | Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to WisdomTree Balanced Income Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M File No.: TP 18-05 See also: Incoming Letter |
| 34-82281 | Dec. 11, 2017 | Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection with the Exchange's Retail Liquidity Program Until June 30, 2018 File No.: SR-NYSEArca-2013-107 See also: Incoming Letter |
| 34-82234 | Dec. 7, 2017 | Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Certain Index-Based ETFs Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M File No.: TP 18-04 See also: Incoming Letter |
| 34-82228 | Dec. 7, 2017 | Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS In Connection With the Exchange’s Retail Liquidity Program Until June 30, 2018
File No.: SR-NYSE-2011-55 See also: Order: Rel. No. 34-80861 and Incoming Letter |
| 34-82198 | Dec. 1, 2017 | 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 June 30, 2018
File No.: SR-BX-2014-048 Additional Materials: Incoming Letter (Nov. 28, 2017), Exhibit 5; Request for Exemption; Response to Request for No Action Relief See also: Order: Rel. No. 34-79448, Order: Rel. No. 34-73702, Notice: Rel. No. 34-73410 |
| 34-82144 | Nov. 22, 2017 | Order Extending Conditional Temporary Exemption for Nationally Recognized Statistical Rating Organizations from Requirements of Rule 17g-5(A)(3) Under the Securities Exchange Act of 1934 File No.: S7-04-09 |
| 34-82136 | Nov. 21, 2017 | Order Granting Limited Exemptive Relief from Rule 102 of Regulation M in Connection with Proposed Consolidations Pursuant to Rule 102(e) of Regulation M File No.: TP 18-03 See also: Incoming Letter |
| 34-82029 | Nov. 7, 2017 | Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Vanguard Total Corporate Bond ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M File No.: TP 18-02 See also: Incoming Letter |
| 34-81993 | Oct. 31, 2017 | Order Temporarily Exempting Certain Broker-Dealers From Specified Provisions of the Recordkeeping, Reporting, and Monitoring Responsibilities of Rule 13h-1 Under the Securities Exchange Act of 1934 |
| 34-81942 | Oct. 25, 2017 | Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to WisdomTree CBOE Russell 2000 PutWrite Strategy Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M See also: Incoming Letter |
| Third Quarter | ||
| 34-81771 | Sep. 29, 2017 | Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to VanEck Vectors NDR CMG Long/Flat Allocation ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M File No.: TP 17-11 See also: Incoming Letter |
| 34-81410 | Aug. 16, 2017 | Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to IQ Real Return ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M File No.: TP 17-10 See also: Incoming Letter |
| 34-81364 | Aug. 8, 2017 | 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 |
| Second Quarter | ||
| 34-80861 | Jun. 5, 2017 | 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, 2017 File No.: SR-NYSE-2011-55; SR-NYSEAmex-2011-84 See also: Incoming Letter, Order Rel No. 34-82228 |
| 34-80860 | Jun. 5, 2017 | 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, 2017 File No.: SR-NYSEArca-2013-107 See also: Incoming Letter |
| 34-80567 | May 1, 2017 | Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Alpha Architect Value Momentum Trend ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M File No.: TP 17-08 See also: Incoming Letter |
| 34-80536 | Apr. 27, 2017 | Order Granting Application by New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc., and NYSE National, Inc., Respectively, for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act from Certain Requirements of Rule 6a-2 under the Exchange Act |
| 34-80378 | Apr. 5, 2017 | Order Granting a Temporary Exemption to Covered Clearing Agencies from Compliance with Rule 17Ad-22(e)(3)(ii) and Certain Requirements in Rules 17Ad-22(e)(15)(i) and (ii) under the Securities Exchange Act of 1934 File No.: S7-03-14 See also: Notice of Intent letters |
| First Quarter | ||
| 34-80359 | Mar. 31, 2017 | Order Extending a Temporary Exemption from Compliance with Rules 13n-1 to 13n-12 under the Securities Exchange Act of 1934 |
| 34-80339 | Mar. 29, 2017 | Order Granting Application by C2 Options Exchange, Incorporated for an 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 |
| 34-80338 | Mar. 29, 2017 | Order Granting Application by MIAX PEARL, LLC for an 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 |
| 34-80142 | Mar. 2, 2017 | Order Granting Limited Exemptive Relief, Pursuant to Rule 608(e) of the Securities Exchange Act of 1934, from the Clock Synchronization Compliance Deadline Specified in Section 6.7(a)(ii) of the National Market System Plan Governing the Consolidated Audit Trail |
| 34-80052 | Feb. 16, 2017 | Order Granting Limited Exemptions from Rule 102 of Regulation M Relating To NPM Securities, LLC's Alternatives Platform File No.: TP 17-03 See also: Incoming Letter |
| 34-80042 | Feb. 14, 2017 | Order Granting Limited Conditional Exemption From Rule 200(c) Of Regulation SHO to Magnitude Special Investments Portfolio Fund, Ltd. File No.: TP 17-04 See also: Incoming Letter |
| 34-80010 | Feb. 10, 2017 | Order Granting Limited Temporary Exemption from Exchange Act Section 12(j) File No.: TP 17-06 See also: Incoming Letter |
| 34-79833 | Jan. 18, 2017 | Order Extending Certain 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 Comments received are available. |