Exchange Act Exemptive Notices and Orders Archive: 2019
Exemptive notices and orders currently available include:
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1994
Release No. | Date | Details |
---|---|---|
Fourth Quarter | ||
34-87204 | Oct. 2, 2019 | Notice of Proposed Exemptive Order Granting a Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors (Conformed to Federal Register version)
File No: S7-16-19 Comments Due: December 9, 2019 Comments received are available for this proposal. |
Third Quarter | ||
34-87110 | Sep. 25, 2019 | Order Granting a Conditional Exemption from Exchange Act Section 11(D)(1) and Exchange Act Rules 10B-10, 15C1-5, 15C1-6, AND 14E-5 for Certain Exchange Traded Funds |
34-86896 | Sep. 6, 2019 | Order Granting Application by Nasdaq BX, 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 the Nasdaq Rule 1000 Series Incorporated by Reference |
34-86874 | Sep. 4, 2019 | Order Granting Application by The Financial Information Forum and Security Traders Association for an Exemption Pursuant to Rule 606(c) of Regulation NMS Under the Exchange Act from Certain Requirements of Rule 606 of Regulation NMS Under the Exchange Act |
34-86422 | Jul. 22, 2019 | Order Granting Application by: Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, and Nasdaq Phlx 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 |
Second Quarter | ||
34-86204 | June 26, 2019 | Cboe 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 |
34-86201 | June 26, 2019 | NYSE Arca, Inc. (Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Liquidity Program Until September 30, 2019) File No.: SR-NYSEArca-2013-107 |
34-85877 | May 16, 2019 | Order Granting Application by Chicago Stock Exchange, Inc. 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 |
34-85611 | Apr. 11, 2019 | Order Granting Application by NYSE Chicago, Inc. for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act from Certain Requirements of Rule 6a-2 under the Exchange Act |
First Quarter | ||
34-85406 | Mar. 25, 2019 | Order Granting CNL Strategic Capital LLC a Limited Exemption from Rule 102(a) of Regulation M pursuant to Rule 102(e) File No.: TP 19-03 See also: Incoming Letter |
34-85203 | Feb. 26, 2019 | Order Granting Applications by Nasdaq BX, Inc. and Nasdaq PHLX 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 Order Audit Trail System Rules Incorporated by Reference |
34-84991 | Jan. 25, 2019 | Order Granting a Limited Exemption from the Exchange Act Definition of "Penny Stock" for Security-Based Swap Transactions between Eligible Contract Participants; Granting a Limited Exemption from the Exchange Act Definition of "Municipal Securities" for Security-Based Swaps; and Extending Certain Temporary Exemptions under the Exchange Act in Connection with the Revision of the Definition of "Security" to Encompass Security-Based Swaps File No.: S7-27-11 Comments received are available. |