Order Regarding Exemption

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Release Number SEC Issue Date File Number Details
34-92711 Order Granting Exemption from Section 16 of the Securities Exchange Act of 1934 for PG&E Fire Victim Trust
34-91877 Order Granting Application by Nasdaq PHLX 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
Federal Register version (86 FR 26997)
34-90276 S7-13-12 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
See Also - Exemptive Order Rel. No. 2020-248
Submit a Comment on S7-13-12
Federal Register version (85 FR 70657)
34-90223 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
Federal Register version (85 FR 67576)
34-89659 TP-20-02 Order Granting Exemptions From Certain Rules Related to the Sale and Delivery of Physical Securities Under Regulation SHO Related to COVID-19
Federal Register version (85 FR 53888)
IA-5565 803-00250 Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Order Under Section 206A of the Investment Advisers Act of 1940 Granting an Exemption from Section 205 of the Act and Rule 205-1 Thereunder)
34-89184 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
Federal Register version (85 FR 40356)
34-89170 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
Federal Register version (85 FR 39960)
IC-33897 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 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
Federal Register version (85 FR 37133)
34-89051 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
Federal Register version (85 FR 36631)
34-88960 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
Federal Register version (85 FR 33234)
34-88884 Order Granting a Conditional Exemption From Exchange Act Section 11(d)(1) for Certain Asset Backed Securities and Other Collateral
See Also - Incoming Letter
Federal Register version (85 FR 31019)
34-88703 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
Federal Register version (85 FR 23115)
34-88702 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
Federal Register version (85 FR 23075)
IC-33837 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
34-88608 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
Federal Register version (85 FR 20743)
34-88491 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
Federal Register version (85 FR 18299)
34-88465 Order Under Section 36 of the Securities Exchange Act of 1934 Modifying Exemptions From the Reporting and Proxy Delivery Requirements for Public Companies
Federal Register version (85 FR 17610)
IA-5469 Order Under Section 206a of the Investment Advisers Act of 1940 Granting Exemptions From Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder
Federal Register version (85 FR 17609)
IC-33824 Order Under Section 6(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus Delivery
Federal Register version (85 FR 17611)
34-88478 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
Federal Register version (85 FR 17927)
IC-33821 Order Under Sections 6(c), 12(d)(1)(J), 17(b), 17(d) AND 38(a) 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
See Also - Staff Statement Regarding Termination Notice For Exemptive Relief and Withdrawal of Staff Letters Related To COVID-19 Response
34-88448 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
Federal Register version (85 FR 17122)
34-88393 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
Federal Register version (85 FR 16152)
IA-5463 Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder
IC-33817 Order under Section 6(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus Delivery
34-88318 Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder
Federal Register version (85 FR 13680)
33-9808 In the Matter of Monica J. Lindeen , Montana State Auditor, Ex Officio Commissioner of Securities and Insurance's Motion for Stay of the Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A) (Order Denying Stay)
34-74115 SR-BYX-2012-019 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
Federal Register version (80 FR 4324)
34-72984 Order Pursuant to Section 13(f)(3) 13(f)(5) and 36 of the Securities Exchange Act of 1934 Denying Application for Exemption from Rule 13f-1 Under the Act
34-72658 S7-08-14 Notice of Proposed Exemptive Order Granting Permanent Exemptions Under the Securities Exchange Act of 1934 From the Confirmation Requirements of Exchange Act Rule 10b-10 for Certain Money Market Funds
Comments Due: August 19, 2014
View Received Comments
Submit a Comment on S7-08-14
Federal Register version (79 FR 44076)
IC-31088 Copley Fund, Inc. (Order under Section 6(c) of the Investment Company Act of 1940 Denying a Request for a Hearing and Denying an Exemption from Rule 22c-1 under the Act and Rule 4-01(a)(1) of Regulation S-X)
33-9428 Goldstream Mining Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-183086)
33-9427 Gold Camp Explorations Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-185851)
33-9432 Gaspard Mining Inc. (Order Denying Withdrawal of Registration Statement; Registration Number: 333-186201)
34-67480 S7-24-11 Order Extending Temporary Conditional Exemption in Connection With the Effectiveness of the Definition of Eligible Contract Participant
See Also - Release No. 34-64678, Security-Based Swaps Implementation Policy Statement
Federal Register version (77 FR 43878)
34-66976 Order Granting Application of BOX Options Exchange, LLC for a Limited Exemption From Exchange Act Rule 10b-10(a)(2)(i)(A) Pursuant to Rule 10b-10(f)
See Also - Request for Limited Exemption
Federal Register version (77 FR 29397)
34-66514 Order Granting Temporary Exemption of Morningstar Credit Ratings, LLC From the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934
Federal Register version (77 FR 14580)
IA-3369 801-71579 Gravity Capital Partners, LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
34-65339 Order Granting Temporary Exemption of Kroll Bond Rating Agency, Inc. From the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934
Federal Register version (76 FR 58319)
34-61930 Wynnefield Capital Management LLC and Wynnefield Capital, Inc. (Order Pursuant to Sections 13(f)(2), 13(f)(4) and 36 of the Securities Exchange Act of 1934 Denying Application for Exemption From Rule 13f-1 Under the Securities Exchange Act of 1934)
34-61803 S7-06-09 Order Extending Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request of Chicago Mercantile Exchange Inc. Related to Central Clearing of Credit Default Swaps, and Request for Comments
View Received Comments
Submit a Comment on S7-06-09
Federal Register version (75 FR 17181)
34-61366 Full Value Advisors, LLC (Stay Order)
34-61327 Full Value Advisors, LLC (Order Pursuant to Sections 13(f)(2), 13(f)(4) and 36 of the Securities Exchange Act of 1934 Denying Application for Exemption from Rule 13f-1 Under the Securities Exchange Act of 1934)
34-61164 S7-06-09 Order Extending and Modifying Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request of Chicago Mercantile Exchange Inc. Related to Central Clearing of Credit Default Swaps, and Request for Comments
Federal Register version (74 FR 67258)
34-60194 Order Under Section 36 of the Securities Exchange Act of 1934 Granting an Exemption From Exchange Act Section 6(h)(1) for Certain Persons Effecting Transactions in Foreign Security Futures and Under Exchange Act Section 15(a)(2) and Section 36 Granting Exemptions From Exchange Act Section 15(a)(1) and Certain Other Requirements
Federal Register version (74 FR 32200)
34-60152 Order Granting Application for Extension of a Temporary Conditional Exemption Pursuant to Section 36(a) of the Exchange Act by the International Securities Exchange, LLC Relating to the Ownership Interest of International Securities Exchange Holdings, Inc. in an Electronic Communications Network
Federal Register version (74 FR 30334)
34-59578 S7-06-09 Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection with Request of Chicago Mercantile Exchange Inc. and Citadel Investment Group, L.L.C. Related to Central Clearing of Credit Default Swaps, and Request for Comments
See Also - Request for Exemptive Relief
Federal Register version (74 FR 11781)
34-59527 S7-05-09 Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on Behalf of ICE U.S. Trust LLC Related to Central Clearing of Credit Default Swaps, and Request for Comments
See Also - Request for Exemptive Relief
Federal Register version (74 FR 10791)
34-59164 S7-34-08 Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection with Request of Liffe Administration and Management and Lch.Clearnet Ltd. Related to Central Clearing of Credit Default Swaps, and Request for Comments
See Also - and Request for Exemptive Relief, Exemptive Order Release No. 34-59164
Federal Register version (74 FR 139)
34-59165 S7-35-08 Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Granting Temporary Exemptions From Sections 5 and 6 of the Exchange Act for Broker-Dealers and Exchanges Effecting Transactions in Credit Default Swaps
View Received Comments
Federal Register version (74 FR 133)
34-58001 Order Granting Temporary Exemption of Realpoint LLC From the Conflict of Interest Prohibition in Rule 17a-5(c)(1) Under the Securities Exchange Act of 1934
Federal Register version (73 FR 36362)
34-57301 Order Granting Temporary Exemption of LACE Financial Corp. From the Conflict of Interest Prohibition in Rule 17a-5(c)(1) of the Securities Exchange Act of 1934
Federal Register version (73 FR 8721)
39-2450 22-28859 Grupo Iusacell Celular, S.A. de C.V. (Order Granting Application for Exemption)
34-56779 S7-26-07 Notice of Application of the National Association of Realtors for Exemptive Relief Under Sections 15 and 36 of the Exchange Act and Request for Comment
Comments Due: December 17, 2007
View Received Comments
See Also - S Application
Federal Register version (72 FR 64688)
34-55991 S7-12-01 Order Extending Temporary Exemption of Banks From the Definition of "Broker" Under Section 3(a)(4) of the Securities Exchange Act of 1934
Federal Register version (72 FR 36742)
34-55165 Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608(e) Thereunder Extending a de minimis Exemption for Transactions in Certain Exchange-Traded Funds From the Trade-Through Provisions of the Intermarket Trading System
Federal Register version (72 FR 4545)
34-54948 S7-12-01 Order Extending Temporary Exemption of Banks From the Definition of "Broker" Under Section 3(a)(4) of the Securities Exchange Act of 1934
See Also - Federal Register version, Proposed Rule Release No. 34-54946, Proposed Rule Release No. 34-54947
Federal Register version (71 FR 77557)
34-54714 Order Granting National Securities Exchanges a Limited Exemption From Rule 612 of Regulation NMS Under the Securities Exchange Act of 1934 To Permit Acceptance by Exchanges of Certain Sub-Penny Orders
Federal Register version (71 FR 66352)
34-54063 Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608(e) Thereunder Extending a De Minimis Exemption for Transactions in Certain Exchange-Traded Funds From the Trade-Through Provisions of the Intermarket Trading System
Federal Register version (71 FR 38433)
34-53828 Regulation NMS (Order Granting Exemption from Compliance)
See Also - Spotlight on Regulation NMS
34-52382 Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608(e) Thereunder Extending a De Minimis
Federal Register version (70 FR 53695)
34-51893 List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities
Federal Register version (70 FR 37128)
IC-26824 Morgan Stanley Investment Advisors Inc. (Order Pursuant to Section 9(c) of the Investment Company Act of 1940 Granting a Permanent Exemption from Section 9(a) of the Act)
34-50795 Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder Extending a de minimis Exemption for Transactions in Certain Exchange-Traded Funds from the Trade-Through Provisions of the Intermarket Trading System
Federal Register version (69 FR 71445)
34-49859 Order Temporarily Exempting Standardized Options and Security Futures From Rule 12d2-2 Under the Securities Exchange Act of 1934
Federal Register version (69 FR 34409)
34-49846 List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities
Federal Register version (69 FR 33948)
34-49356 Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder Extending a De Minimis
Federal Register version (69 FR 11057)
35-27793 3-11373 Public Utility Holding Company Act of 1935; Application of Stephen Forbes Cooper, LLC, PGE Trust, and Enron Corporation for Exemption Under the Public Utility Holding Company Act of 1935 (No. 70-10190); Notice of and Order Scheduling Hearing Regarding Request for Order Exempting Holding Companies from Registration Under the Public Utility Holding Company Act of 1935
See Also - Federal Register PDF
Federal Register version (69 FR 2637)
34-48063 List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities
Federal Register version (68 FR 37870)
34-47950 Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder Extending a De Minimis Exemption for Transactions in Certain Exchange-Traded Funds From the Trade-Through Provisions of the Intermarket Trading System
Federal Register version (68 FR 33748)
34-47319 Order Exempting Options Specialists From Section 11(b) of the Securities Exchange Act of 1934 When Accepting Certain Types of Complex Orders
Federal Register version (68 FR 7156)
34-46921 Financial Information (Order Extending Exemption)
34-46428 Exchange-Traded Funds (Order Granting De Minimis Exemption Under Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2(f) Thereunder)
34-46015 Order Granting Temporary Exemption of Broker-Dealers that are Futures Commission Merchants from the Disclosure Requirements of Rule 10b-10 Promulgated under the Securities Exchange Act of 1934 and the Disclosure Requirements of Section 11(d)(2) of the Securities Exchange Act of 1934 in Connection with Security Futures Transactions Effected in Futures Accounts
Federal Register version (67 FR 39752)
34-45855 List of Foreign Issuers That Have Submitted Information Under the Exemption Relating to Certain Foreign Securities
Federal Register version (67 FR 30733)
34-45654 S7-17-00 Order Granting Temporary Exemption for Broker-Dealers from the Trade-Through Disclosure Rule
See Also - Rel. No. 34-43085, and comments
Federal Register version (67 FR 18059)
34-44874 Exemptive Order Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 Issuing Exemptive Relief to Respond to Market Developments
IC-25165 Order Extending Prior Order Under Sections 6(c), 17(b) and 38(a) of the Investment Company Act of 1940 Granting Exemptions from Certain Provisions of the Act and Certain Rules Thereunder
IC-25156 Exemptions (Order Granting Exemptions Under Sections 6(c), 17(d) and 38(a) of the Investment Company Act of 1940)
34-44729 Persons Engaging in Security Futures Product Transactions (Order Granting Temporary Exemption)
34-44731 Futures Commission Merchants and Introducing Brokers (Order Granting Temporary Exemption from the Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934)
See Also - 34-44731

Note: Also Available in PDF Format: 34-44731
34-44569 S7-12-01 Extension of Comment Period on Interim Final Rules on Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934
Comments Due: On or before September 4, 2001
See Also - Comments received electronically are available, Notice of Intent to Amend Rules, 34-46751, also Order Extending Temporary Exemption and Notice of Intent to Amend Rules, Order Extending Temporary Exemption and Notice of Intent to Amend Rules
Federal Register version (66 FR 38370)
34-42906 In the Matter of the Investment Dealers Association of Canada; Order Granting Exemption
Federal Register version (65 FR 37678)
34-41199 10-126 Tradepoint Financial Networks plc; Order Granting Limited Volume Exemption From Registration as an Exchange Under Section 5 of the Securities Exchange Act
Federal Register version (64 FR 14953)
34-40161 10-101 Tradepoint Financial Networks plc; Notice of Application for Limited Volume Exemption From Registration as an Exchange Under Section 5 of the Securities Exchange Act
Comments Due: 30 days after publication in Federal Register
View Received Comments
See Also - Comments received electronically are available
Federal Register version (63 FR 37146)

Note: Comments received electronically are available
34-39681 List of Foreign Issuers Which Have Submitted Information Under the Exemption Relating to Certain Foreign Securities
Federal Register version (63 FR 9879)
34-38235 List of Foreign Issuers Which Have Submitted Information Required by the Exemption Relating to Certain Foreign Securities
Federal Register version (62 FR 6018)
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