Exchange Act Exemptive Notices and Orders Archive: 2020
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Release No. | Date | Details |
---|---|---|
Fourth Quarter | ||
34-90785 | Dec. 22, 2020 | Acknowledgement of Receipt of Notice of Registration as a National Securities Exchange Pursuant to Section 6(g) of the Securities Exchange Act of 1934 by the Minneapolis Grain Exchange, LLC |
34-90769 | Dec. 22, 2020 | Notice of Proposed Conditional Exemptive Order Granting a Conditional Exemption from the Information Review Requirement of Amended Rule 15c2-11(a)(1)(i) and the Recordkeeping Requirement of Amended Rule 15c2-11(d)(1)(i)(A) under the Securities Exchange Act of 1934 for Certain Publications or Submissions of Broker-Dealer Quotations on an Expert Market
File No: S7-23-20 Comments Due: February 11, 2021 Comments received are available for this proposal. See also: Request for Exemptive Relief from OTC Link LLC |
34-90689 | Dec. 16, 2020 | Order Granting Temporary Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Section 8.1.1 and Section 8.1.2 of Appendix D of the National Market System Plan Governing the Consolidated Audit Trail |
34-90688 | Dec. 16, 2020 | Order Granting Temporary Conditional Exemptive Relief Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail |
34-90510 | Nov. 24, 2020 | Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") with Respect to Futures Contracts on the SPIKESTM Index |
34-90405 | Nov. 12, 2020 | Order Granting a Temporary Conditional Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Reporting of Certain Activities on the Floor of National Securities Exchanges and Certain Activities by Industry Members Off Exchange Floors, as Required by Section 6.4(d) of the National Market System Plan Governing the Consolidated Audit Trail |
34-90308 | Nov. 2, 2020 | Order Granting Exemptions from Sections 8 and 15(a)(1) of the Securities Exchange Act of 1934 and Rules 3b-13(b)(2), 8c-1, 10b-10, 15a-1(c), 15a-1(d) and 15c2-1 Thereunder in Connection with the Revision of the Definition of "Security" to Encompass Security-Based Swaps and Determining the Expiration Date for a Temporary Exemption from Section 29(b) of the Securities Exchange Act of 1934 in Connection with Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
File Nos.: S7-27-11 and S7-24-11 |
34-90276 | Oct. 28, 2020 | Proposed Order Granting Conditional Exemptions under the Securities Exchange Act of 1934 in Connection with the Portfolio Margining of Swaps and Security-based Swaps that are Credit Default Swaps
File No.: S7-13-12 See also: Exemptive Order Rel. No. 2020-248 |
34-90223 | Oct. 19, 2020 | Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Reporting of Allocations Pursuant to the National Market System Plan Governing the Consolidated Audit Trail |
34-90130 | Oct. 8, 2020 | Order Granting Application of Robinhood Financial LLC and Robinhood Securities LLC
for a Limited Exemption from Exchange Act Rule 10b-10(a) Pursuant to Rule 10b-10(f) See also: Incoming Letter |
34-90112 | Oct. 7, 2020 | Notice of Proposed Exemptive Order Granting Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders
File No: S7-13-20 Comments Due: November 12, 2020 Comments received are available for this proposal. See also: Press Release 2020-248 |
Third Quarter | ||
34-89942 | Sep. 21, 2020 | Order Granting Application of MIAX PEARL, LLC for a Limited Exemption from
Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f) See also: Incoming Letter |
34-89926 | Sep. 18, 2020 | Order Granting Application of MEMX LLC for a Limited Exemption from Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f) |
34-89902 | Sep. 17, 2020 | Order Granting Applications 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 |
34-89790 | Sep. 8, 2020 | Order Granting Application of Long-Term Stock Exchange, Inc. for a Limited Exemption from Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f) See also: Incoming Letter |
34-89659 | Aug. 25, 2020 | Order Granting Exemptions from Certain Rules Related to the Sale and Delivery of Physical Securities under Regulation SHO Related to COVID-19 File No.: TP 20-02 |
Second Quarter | ||
34-89184 | Jun. 29, 2020 | Order Under Section 17(h)(4) of the Securities Exchange Act of 1934 Granting Exemption from Rule 17h-1T and Rule 17h-2T for Certain Broker-Dealers Maintaining Capital, Including Subordinated Debt of Greater than $20 Million but Less than $50 Million |
34-89170 | Jun. 26, 2020 | Order under Section 17A and Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder |
IC-33897 | Jun. 19, 2020 | Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Sections 15(c) and 32(a) of the Investment Company Act and Rules 12b-1(b)(2) and 15a-4(b)(2)(ii) Thereunder |
34-89074 | Jun. 16, 2020 | Order Granting a Temporary 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 |
34-89051 | Jun. 11, 2020 | Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail |
34-88960 | May 27, 2020 | Order under Section 17A and Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder |
34-88884 | May 15, 2020 | Order Granting a Conditional Exemption from Exchange Act Section 11(d)(1) for Certain Asset Backed Securities and Other Collateral See also: Incoming Letter |
34-88703 | Apr. 20, 2020 | Order Granting Limited Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, Related to Certain Introducing Brokers, From the Requirements of the National Market System Plan Governing the Consolidated Audit Trail |
34-88702 | Apr. 20, 2020 | Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, from Sections 6.4, 6.7(a)(v) and 6.7(a)(vi) of the National Market System Plan Governing the Consolidated Audit Trail |
34-88608 | Apr. 8, 2020 | Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act to Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to Granularity of Timestamps Specified in Section 6.8(b) and Appendix D, Section 3 of the National Market System Plan Governing the Consolidated Audit Trail |
IC-33837 | Apr. 8, 2020 | Order Under Sections 6(c), 17(d), 38(a), and 57(i) of the Investment Company Act of 1940 and Rule 17d-1 Thereunder Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder |
First Quarter | ||
34-88491 | Mar. 26, 2020 | Order Under Section 15B of the Securities Exchange Act of 1934 Granting an Exemption for Municipal Advisors from Specified Provisions of the Securities Exchange Act and Rule 15Ba1-5(a)(1) Thereunder |
34-88478 | Mar. 25, 2020 | Order Granting Application by The Financial Information Forum and Security Traders Association for a Temporary Exemption Pursuant to Rule 606(c) of Regulation NMS Under the Exchange Act in Response to the Effects of COVID-19 |
34-88465 | Mar. 25, 2020 | Order Under Section 36 of the Securities Exchange Act of 1934 Modifying Exemptions from the Reporting and Proxy Delivery Requirements for Public Companies |
34-88448 | Mar. 20, 2020 | Order Under Section 17A and Section 36 of the Securities Exchange Act oF 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder |
34-88393 | Mar. 17, 2020 | Order Granting Conditional Exemptive Relief, Pursuant to Section 36 and Rule 608(e) of the Securities Exchange Act of 1934, from Section 6.4(d)(ii)(C) and Appendix D Sections 4.1.6, 6.2, 8.1.1, 8.2, 9.1, 9.2, 9.4, 10.1, and 10.3 of the National Market System Plan Governing the Consolidated Audit Trail |
34-88318 | Mar. 4, 2020 | Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder |
34-88302 | Feb. 28, 2020 | Order Granting Limited Conditional Exemption From Rule 200 of Regulation SHO to Precidian ETF Trust II File No.: TP 20-01 See also: Incoming Letter |
34-88301A | Feb. 28, 2020 | Order Granting Limited Exemption from Section 11(d)(1) for ActiveShares ETF Trust See also: Incoming Letter |
34-87943 | Jan. 10, 2020 | Order Extending Temporary Exemptions from Exchange Act Section 8 and Exchange Act Rules 8c-1, 10b-16, 15a-1, 15c2-1 and 15c2-5 in Connection with the Revision of the Definition of “Security” to Encompass Security-Based Swaps File No.: S7-27-11 |