34-102980
May 2, 2025
4-698
Order Granting Temporary Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to Granularity of Timestamps Specified in Section 6.8(b) and... Comments Due: Federal Register .
View Received Comments
34-102490
Feb. 26, 2025
S7-2024-07
Order Under Section 36 of the Securities Exchange Act of 1934 (the “Exchange Act”) Granting the New York Stock Exchange LLC’s Application to Amend a Conditional Exemption from Section 12(a) of the Exchange Act View Received Comments
34-102486
Feb. 25, 2025
S7-23-22
Order Granting Temporary Exemptive Relief, Pursuant to Sections 17A and 36(a) of the Securities Exchange Act of 1934, from Certain Aspects of Rule 17ad-22(e)(6)(i) and Section 19(g)(1) of the Securities Exchange Act of 1934 View Received Comments
34-102386
Feb. 10, 2025
4-698
Order Granting Exemptive Relief, Pursuant to Section 36(a)(1) and Rule 608(e) of the Securities Exchange Act of 1934, from Certain Provisions of Section 6.4(d)(ii)(C) and Appendix D, Sections 9.1, 9.2 and 9.4 of the National Market System Plan Governing t Comments Due: Federal Register .
View Received Comments
34-102380
Feb. 7, 2025
Order Granting Temporary Exemption Pursuant to Section 13(f)(3) of the Securities Exchange Act of 1934 from Compliance with Rule 13f-2 and Form SHO
34-102234
Jan. 17, 2025
Order Granting Temporary Conditional Exemptive Relief, pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS thereunder, from Certain Requirements of Appendix D, Section 3 of the National Market System Plan
34-101468
Oct. 29, 2024
S7-2024-07
Notice of an Application of the New York Stock Exchange LLC for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 and Request for Comment View Received Comments Federal Register version
34-100185
May 20, 2024
Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder
34-100181
May 20, 2024
Order Granting a Temporary Conditional Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Reporting of Responses to Requests for Quotes
34-98848
Nov. 2, 2023
Order Granting Conditional Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Certain Requirements of the National Market System Plan Govern
34-98819
Oct. 30, 2023
4-795
Order Granting Broker-Dealers Exemptive Relief, Pursuant to Section 36(a) and Rule 15c2-11(g) under the Securities Exchange Act of 1934, from Rule 15c2-11 for Fixed-Income Securities Sold in Compliance with the Safe Harbor of Rule 144A under the Securitie View Received Comments Rulemaking Petition
34-98206
Aug. 23, 2023
Order Granting Application of NYSE National, Inc. for a Limited Exemption from Rule 602 of Regulation NMS for its Retail Liquidity Program Incoming Letter
34-98023
July 28, 2023
Order Granting a Temporary Conditional Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Reporting of Certain Activities on the Floor of National Securit
34-97530
May 19, 2023
Order Granting Temporary Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS under the Exchange Act, from Certain Requirements of the CAT NMS Plan
34-97399
April 28, 2023
Order Granting Application by Long-Term 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
34-95738
Sept. 12, 2022
Order Granting Application by NYSE Chicago, 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 Federal Register version (87 FR 56995)
34-95461
Aug. 10, 2022
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 (87 FR 50359)
34-95234
July 8, 2022
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, From Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail Federal Register version (87 FR 42247)
34-94707
April 12, 2022
Order Granting Application by The Nasdaq Stock Market LLC and Five Affiliated National Securities Exchanges 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 Federal Register version (87 FR 22962)
34-94091
Jan. 27, 2022
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 (87 FR 5929)
34-94031
Jan. 24, 2022
Order Granting Application by The Nasdaq Stock Market 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 (87 FR 4676)
34-94034
Jan. 24, 2022
Order Granting Application by Nasdaq BX, 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 Federal Register version (87 FR 4691)
34-93804
Dec. 16, 2021
Order Granting Applications by Nasdaq BX, Inc., The Nasdaq Stock Market 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 the Nasdaq ISE, LLC Options 4 Options Listing Rules Incorporated by Reference Federal Register version (86 FR 72656)
34-93501
Nov. 1, 2021
S7-13-12
Order Granting Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With the Portfolio Margining of Cleared Swaps and Security-Based Swaps That Are Credit Default Swaps Federal Register version (86 FR 61357)
34-93217
Sept. 30, 2021
Order Granting Application of Investors Exchange LLC for a Limited Exemption From Rule 602 of Regulation NMS for Its Retail Price Improvement Program LLC Federal Register version (86 FR 55663)
34-92934
Sept. 10, 2021
Order Granting Application by The Nasdaq Stock Market LLC and Nasdaq BX, 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 Federal Register version (86 FR 51705)
34-91236
June 9, 2021
SR-NYSEArca-2020-56
Order Disapproving a Proposed Rule Change To Amend NYSE Arca Rules 5.2-E(j)(3), 5.2-E(j)(8), 5.5-E(g)(2), 8.600-E, and 8.900-E Federal Register version (86 FR 13414)
34-91202
Feb. 24, 2021
Order Granting Application by Nasdaq ISE, 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 the Nasdaq Rule 1000 Series Incorporated by Reference Federal Register version (86 FR 12250)
34-91203
Feb. 24, 2021
Order Granting Application by Cboe C2 Exchange, 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 Certain Rules Incorporated by Reference Federal Register version (86 FR 12251)
34-91192
Feb. 23, 2021
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 Federal Register version (86 FR 12064)
34-91193
Feb. 23, 2021
Order Granting Application by Cboe C2 Exchange, 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 Certain Rules Incorporated by Reference Federal Register version (86 FR 12052)
34-90769
Dec. 22, 2020
S7-23-20
Notice of Proposed Conditional Exemptive Order Granting a Conditional Exemption From the Information Review Requirement and the Recordkeeping Requirement Under the Securities Exchange Act of 1934 for Certain Publications or Submissions of Broker-Dealer Quotations on an Expert Market Comments Due: View Received Comments Request for Exemptive Relief from OTC Link LLC Federal Register version (86 FR 2311)
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 Federal Register version (85 FR 86591)
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 Federal Register version (85 FR 83634)
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 Federal Register version (85 FR 83667)
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 Federal Register version (85 FR 77297)
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 Federal Register version (85 FR 73544)
34-90308
Nov. 2, 2020
S7-24-11
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 Federal Register version (85 FR 70667)
34-90276
Oct. 28, 2020
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 View Received Comments Federal Register version (85 FR 70657)
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 Federal Register version (85 FR 67576)
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) Incoming Letter
34-90112
Oct. 7, 2020
S7-13-20
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 Comments Due: View Received Comments Press Release 2020-248 Federal Register version (85 FR 64542)
34-89942
Sept. 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) Incoming Letter
34-89926
Sept. 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
Sept. 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 Federal Register version (85 FR 59843)
34-89790
Sept. 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) Incoming Letter
34-89659
Aug. 25, 2020
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)
34-89184
June 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 Federal Register version (85 FR 40356)
34-89170
June 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 Federal Register version (85 FR 39960)
IC-33897
June 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
June 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 Federal Register version (85 FR 37133)
34-89051
June 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 Federal Register version (85 FR 36631)
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 Federal Register version (85 FR 33234)
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 Federal Register version (85 FR 31019)
34-88702
April 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 Federal Register version (85 FR 23075)
34-88703
April 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 Federal Register version (85 FR 23115)
34-88608
April 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 Federal Register version (85 FR 20743)
IC-33837
April 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
34-88491
March 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 Federal Register version (85 FR 18299)
34-88465
March 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 Federal Register version (85 FR 17610)
34-88478
March 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 Federal Register version (85 FR 17927)
34-88448
March 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 Federal Register version (85 FR 17122)
34-88393
March 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 Federal Register version (85 FR 16152)
34-88318
March 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 Federal Register version (85 FR 13680)
34-88301A
Feb. 28, 2020
Order Granting Limited Exemption from Section 11(d)(1) for ActiveShares ETF Trust Incoming Letter
34-88302
Feb. 28, 2020
TP-20-01
Order Granting Limited Conditional Exemption From Rule 200 of Regulation SHO to Precidian ETF Trust II Incoming Letter
34-87204
Oct. 2, 2019
S7-16-19
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 Comments Due: View Received Comments Federal Register version (84 FR 54062)
34-87110
Sept. 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 Federal Register version (84 FR 57089)
34-86896
Sept. 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 Federal Register version (84 FR 48186)
34-86874
Sept. 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 Federal Register version (84 FR 47625)
34-86422
July 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 Federal Register version (84 FR 36151)
34-86201
June 26, 2019
SR-NYSEARCA-2013-107
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 Federal Register version (84 FR 31647)
34-86204
June 26, 2019
SR-BYX-2012-019
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 Federal Register version (84 FR 31643)
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
April 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
34-85406
March 25, 2019
TP-19-03
Order Granting CNL Strategic Capital LLC a Limited Exemption from Rule 102(a) of Regulation M pursuant to Rule 102(e) 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 Federal Register version (84 FR 7410)
34-84845
Dec. 18, 2018
SR-BYX-2012-019
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 (83 FR 66329)
34-84514
Nov. 1, 2018
TP-18-16
Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Amplify BlackSwan Growth & Treasury Core ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M Incoming Letter
34-83887
Aug. 20, 2018
Order Granting Applications by Nasdaq ISE, LLC, Nasdaq GEMX, LLC, and Nasdaq MRX, 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 Federal Register version (83 FR 42722)
34-83884
Aug. 17, 2018
Order Granting Temporary Conditional Exemption for Japan Credit Rating Agency, Ltd. from Certain Requirements of Section 15E(t) of the Securities Exchange Act of 1934
34-83756
Aug. 1, 2018
SR-BYX-2012-019
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 (83 FR 38748)
34-83757
Aug. 1, 2018
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 CAT Rules Incorporated by Reference Federal Register version (83 FR 38748)
34-83541
June 28, 2018
SR-NYSE-2011-55
Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Liquidity Program Until December 31, 2018 Incoming Letter Federal Register version (83 FR 31212)
34-83542
June 28, 2018
SR-BX-2014-048
Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program Until December 31, 2018 Incoming Letter Federal Register version (83 FR 31232)
34-83543
June 28, 2018
SR-NYSEARCA-2013-107
Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Liquidity Programs Until December 31, 2018 Incoming Letter Federal Register version (83 FR 31236)
34-83296
May 21, 2018
Order Granting Application by NYSE National, 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 Federal Register version (83 FR 24362)
34-83216
May 11, 2018
TP-18-12
Order Granting Limited Exemptions from Exchange Act Rule 10b-17(b)(1)(v)(A) and (B) and Rules 101 and 102 of Regulation M to First Trust Dorsey Wright DALI 1 ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M Incoming Letter
34-83040
April 12, 2018
Order Granting Application by MIAX PEARL, 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 Federal Register version (83 FR 17198)
34-82947
March 26, 2018
TP-18-11
Order Granting Limited Exemptions from Exchange Act Rule 10b-17(b)(1)(v)(A) and (B) and Rules 101 and 102 of Regulation M to PowerShares Wilshire Micro-Cap Portfolio Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M Incoming Letter
34-82760
Feb. 22, 2018
TP-18-09
Order Granting Limited Exemptions from Rule 10b-17(b)(1)(v)(A) and (B) and Rules 101 and 102 of Regulation M to Xtrackers High Yield Corporate Bond – Interest Rate Hedged ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M Incoming Letter
34-82575
Jan. 23, 2018
TP-18-08
Order Granting Limited Exemptions From Rules 101 and 102 of Regulation M in Connection With Distributions of AT1 Contingent Convertible Securities Pursuant to Rules 101(d) and 102(e) of Regulation M Incoming Letter Federal Register version (83 FR 4083)
34-82515
Jan. 17, 2018
TP-18-07
Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Pacer WealthShield ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M Incoming Letter
34-82359
Dec. 19, 2017
TP-18-05
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 Incoming Letter
34-82360
Dec. 19, 2017
TP-18-05
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 Incoming Letter
34-82281
Dec. 11, 2017
SR-NYSEARCA-2013-107
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 Incoming Letter Federal Register version (82 FR 59679)
34-82228
Dec. 7, 2017
SR-NYSE-2011-55
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 34-80861.pdf , and Incoming Letter Federal Register version (82 FR 58458)
34-82228
Dec. 7, 2017
SR-NYSE-2011-55
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 34-80861.pdf , and Incoming Letter Federal Register version (82 FR 58458)
34-82234
Dec. 7, 2017
TP-18-04
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 Incoming Letter
34-82198
Dec. 1, 2017
SR-BX-2014-048
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 Incoming Letter , Exhibit 5 , Incoming Letter , Response to Request for No Action Relief , Rel. No. 34-79448 , 34-73702.pdf , Rel. No. 34-73410 Federal Register version (82 FR 57627)
