Order Regarding Waiver

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Release Number SEC Issue Date File Number Details
33-11374 Aegon Ltd..: Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer
33-10915 Tierion, Inc. (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision)
33-10916 Prudential Financial, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
33-10898 Intercontinental Exchange, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
33-10895 BancWest Investment (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
33-10894 Public Service Company of North Carolina, Incorporated (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii)(A) and (B) Disqualification Provisions)
33-10893 Dominion Energy, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
33-10866 Salt Blockchain Inc. (Order Under Rule 506(d)(2)(ii) of the Securities Act Of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision)
33-10864 Aegon N.V. (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
33-10846 Northern Trust Corporation (Order Under Rule 405 of the Securities Act of 1933, Granting Waiver From Being Ineligible Issuer)
33-10807 American International Group, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
33-10808 American International Group, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
33-10798 Franklin Resources, Inc. (Order under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer)
33-10784 Morgan Stanley; and Morgan Stanley Finance LLC (Order Under Rule 405 of the Securities Act of 1933, Granting Waivers From Being Ineligible Issuers)
33-10774 Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 405, 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 and Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, Rule 503(a)(4)(ii) of Regulation Crowdfunding, and Granting Waivers from Being Ineligible Issuers)
33-10758 Wells Fargo & Company (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(A) Disqualification Provision)
33-10737 Blockchain of Things, Inc. (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision)
33-10716 Nebulous, Inc. (Order Under Rule 506(d)(2)(ii) and Rule 262(b)(2) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) and Rule 262(a)(5)(ii) Disqualification Provisions)
33-10712 Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 and Rule 503(b)(2) of RegulationCrowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, and Rule 503(a)(4)(ii) of Regulation Crowdfunding)
33-10713 Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 405, 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 And Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, RULE 503(a)(4)(ii) of Regulation Crowdfunding, and Granting a Waiver From Being an Ineligible Issuer)
33-10711, IA-5379 BGC Partners, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
33-10711, IA-5379 BGC Partners, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
33-10708, IA-5378 Bank of Montreal (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
33-10708, IA-5378 Bank of Montreal (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
33-10690, : 34-86986, IA-5353 3-19464 Raymond James Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
33-10690, : 34-86986, IA-5353 3-19464 Raymond James Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
33-10690, : 34-86986, IA-5353 3-19464 Raymond James Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
33-10685, IA-5347 Prudential Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
33-10685, IA-5347 Prudential Financial, Inc.; Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From being an Ineligible Issuer
33-10646 Certain Existing Funds affiliated with Och-Ziff Capital Management Group LLC and OZ Management LP; Corrected Order Under Rule 506(d)(2)(ii) Of The Securities Act Of 1933 Granting A Waiver Of The Rule 506(d)(1)(iv)(B) And (v) Of Regulation D Disqualification Provisions
33-10644 Deer Park Road Management Company, LP; Order Under Rule 506(d)(2)(ii) of the Securities Act Of 1933 Granting A Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision
33-10616 Wells Fargo Services, LLC (Order Under Rule 506(d)(2)(ii) and Rule 262(b)(2)of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii) and Rule 262(a)(2) Disqualification Provisions)
33-10613 3-19100 Deutsche Bank Securities, Inc., RBC Capital Markets, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC (Order Under Rules 262(B)(2), 405, 506(D)(2)(ii), and 602(e) of the Securities Act of 1933 and Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, Rule 503(a)(4)(ii) of Regulation Crowdfunding, and Granting Waivers From Being Ineligible Issuers)
33-10612 3-19026 Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 405, 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 and Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, Rule 503(a)(4)(ii) of Regulation Crowdfunding, and Granting Waivers From Being Ineligible Issuers)
File Nos.: 3-19026, 3-19027, 3-19028, 3-19029, 3-19030, 3-19031, 3-19032, 3-19033, 3-19034, 3-19035, 3-19036, 3-19037, 3-19038, 3-19039, 3-19040, 3-19041, 3-19042, 3-19043, 3-19044, 3-19045, 3-19046, 3-19047, 3-19048, 3-19049, 3-19050, 3-19051, 3-19052, 3-19053, 3-19054, 3-19055, 3-19056, 3-19057, 3-19058, 3-19059, 3-19060, 3-19061, 3-19062, 3-19063, 3-19064, 3-19065, 3-19066, 3-19067, 3-19068, 3-19069, 3-19070, 3-19071, 3-19072, 3-19073, 3-19074, 3-19075, 3-19076, 3-19077, 3-19078, 3-19079, 3-19080, 3-19081, 3-19082, 3-19083, 3-19084, 3-19085, 3-19086, 3-19087, 3-19088, 3-19089, 3-19090, 3-19091, 3-19092, 3-19093, 3-19094, 3-19095, 3-19096, 3-19097, 3-19098, 3-19099, 3-19100, 3-19101, 3-19102
33-10589 Capital States Capital Markets, LLC (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
33-10474, 34-82971 Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934
33-10474, 34-82971 Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934
33-10475 Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer
33-10466 Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting A Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision)
33-10464 Intercontinental Exchange, Inc. (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
33-10455 Wedbush Securities Inc. (Order Under Rule 262(b)(2) and Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 262(a)(4)(ii) and Rule 506(d)(1)(iv)(B) Disqualification Provisions)
33-10275 The Goldman Sachs Group, Inc., and Goldman, Sachs & Co. (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iii) Disqualification Provision)
33-10271 Deutsche Bank Aktiengesellschaft (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
33-10273 3-17730 Deutsche Bank Aktiengesellschaft (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer)
33-10263 Stifel, Nicolaus & Co., Inc. (Order Under Rule 506(D)(2)(Ii) and Rule 262(B)(2) of the Securities Act of 1933 Granting a Waiver of the Rule 506(D)(1)(Ii) and Rule 262(A)(2) Disqualification Provisions)
33-10224 SG Americas Securities, LLC (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iii) Disqualification Provision)
33-10030 3-17084 Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative (Order Under Rules 262(b)(2), 405, 505(b)(2)(iii)(C), 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 Granting Waivers of the Disqualification Provisions of Rules 262(a)(4)(ii), 505(b)(2)(iii), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, and Granting Waivers from Being Ineligible Issuers )
File Nos.: 3-17084, 3-17085, 3-17086, 3-17087, 3-17088, 3-17089, 3-17090, 3-17091, 3-17092, 3-17093, 3-17094, 3-17095, 3-17096, 3-17097
33-10011 3-17077 Barclays Capital Inc. (Order Under Rule 506(d) of The Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
33-10012 3-17077 Barclays PLC and Barclays Bank PLC (Order Under Rule 405 of The Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
33-9993 JPMorgan Chase Bank, N.A. (Waiver Order)
33-9956 3-16853 Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative (Waiver Order)
33-9896 Citigroup Inc. (Waiver Order)
33-9895 Citigroup Global Markets, Inc. (Waiver Order)
33-9894 Citigroup Inc. (Waiver Order)
33-9884 Guggenheim Partners Investment Management, LLC (Waiver Order)
33-9855 KKR & Co. L.P. (Waiver Order)
33-9802 Archer Daniels Midland Company (Waiver Order)
33-9782 UBS AG (Waiver Order)
33-9784, 34-75008 UBS AG (Waiver Order)
33-9787 UBS AG (Waiver Order)
33-9784, 34-75008 UBS AG (Waiver Order)
33-9781 The Royal Bank of Scotland Group plc (Waiver Order)
33-9780 JPMorgan Chase & Co. (Waiver Order)
33-9785, 34-75009 JPMorgan Chase & Co. (Waiver Order)
33-9785, 34-75009 JPMorgan Chase & Co. (Waiver Order)
33-9779 Citigroup Inc. (Waiver Order)
33-9778 Barclays PLC (Waiver Order)
33-9783, 34-75007 Barclays PLC (Waiver Order)
33-9786 Barclays PLC, Barclays Bank PLC, and Barclays Capital Inc. (Waiver Order)
33-9783, 34-75007 Barclays PLC (Waiver Order)
33-9764 Deutsche Bank AG (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
33-9712 3-16361 Oppenheimer & Co. Inc. (Corrected Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii) Disqualification Provision)
33-9698, 34-74061 3-16338 UBS AG: Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer
33-9698, 34-74061 3-16338 UBS AG: Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer
33-9682 Bank of America, N.A. and Merrill Lynch, Pierce, Fenner & Smith, Inc. (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii) Disqualification Provision)
33-9657 Citigroup Global Markets, Inc. (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(ii) Disqualification Provision)
33-9658 Citigroup Inc. (Order Under Rule 405 of the Securities Act Of 1933, Granting a Waiver From Being an Ineligible Issuer)
33-9650 3-16154 Barclays PLC (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
33-9652, 34-73185 3-16154 Barclays Capital Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 as to Barclays Capital Inc.)
33-9652, 34-73185 3-16154 Barclays Capital Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 as to Barclays Capital Inc.)
33-9651 Barclays Capital Inc. (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
33-9649 3-16153 Wells Fargo Advisors, LLC (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
33-9626, 34-72780 Citigroup Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 as to Citigroup Inc. and Its Affiliates)
33-9626, 34-72780 Citigroup Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 as to Citigroup Inc. and Its Affiliates)
33-9627 Citigroup Global Markets Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) and 602(c)(2) Disqualification Provisions)
33-9619 Dominick & Dominick LLC (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(iv)(B) Disqualification Provision)
IC-31051 Credit Suisse Asset Management, LLC, et al.; Notice of Application and Temporary Order
See Also - Order Granting Permanent Exemption
Federal Register version (79 FR 29826)
33-9589 Certain Current Funds, Third Party Issuers and Portfolio Companies affiliated with Credit Suisse AG (Order Under Rule 506(d) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(i) Disqualification Provision)
See Also - Incoming Letter
33-9578, 34-72032 The Royal Bank Of Scotland Group, plc (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
See Also - related no-action letter and incoming letter, Incoming Letter
33-9578, 34-72032 The Royal Bank Of Scotland Group, plc (Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver from Being an Ineligible Issuer)
See Also - related no-action letter and incoming letter, Incoming Letter
33-9558 Jefferies LLC, (formerly known as Jefferies & Company, Inc.) (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9550 Credit Suisse Group AG (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9505, 34-71192 Nomura Holdings, Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
33-9505, 34-71192 Nomura Holdings, Inc. (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
33-9504 Instinet, LLC (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision)
33-9494 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 as to Bank of America Corporation and Its Affiliates)
33-9491, 34-70984 Fifth Third Bancorp (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
33-9491, 34-70984 Fifth Third Bancorp (Order Under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934)
33-9489 RBS Securities Inc. (Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(b)(4) & 602(c)(2) Disqualification Provisions)
33-9487, 34-70949 The Royal Bank of Scotland Group plc (Order under Section 27A(b) of the Securities Act of 1933 and Section 21E(b) of the Securities Exchange Act of 1934, Granting Waivers of the Disqualification Provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 as to the Royal Bank of Scotland Group plc and Its Affiliates)
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