Exemptive

Release Number SEC Issue Date File Number Details
34-46001 4-429 Order Granting Approval of Joint Amendments Nos. 2 and 3 to the Options Intermarket Linkage Plan Relating to Satisfaction of Trade-Throughs, the Procedures for Handling Multiple Principal Orders, Restrictions on Withdrawal, and an Imp
Federal Register version (67 FR 38687)
34-46003 S7-17-00 Order Granting Temporary Exemption for Broker-Dealers from the Trade-Through Disclosure Rule
Federal Register version (67 FR 38689)
34-45897 S7-12-01 Order Extending Temporary Exemption under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934; Notice to Amend Rules
See Also - Rel. No. 34-44291, Rel. No. 34-49879
34-45730 Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Certain Provisions of the Act and Rules Thereunder
33-8070 S7-03-02 Requirements for Arthur Andersen LLP Auditing Clients
Federal Register version (67 FR 13517)
34-45179 Re: Extending Broker-Dealer Exemption from Sending Financial Information to Customers
34-44916 Re: Government Securities Reconciliations
34-44871 Re: Government Securities Reconciliations
34-44874 Re: Exemptive Relief to Respond to Market Developments, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934
34-44839 Re: Government Securities Reconciliations
34-44570 S7-12-01 Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks; Notice of Intent to Amend Rules
See Also - Rel. No. 34-44291, Rel. No. 34-49879
34-44188 600-32 Global Joint Venture Matching Services-US, LLC; Order Granting Exemption From Registration as a Clearing Agency
View Received Comments
Federal Register version (66 FR 20494)
34-41003 600-31 Thomson Financial Technology Services, Inc.; Notice of Filing of Application for Exemption From Registration as a Clearing Agency
Federal Register version (64 FR 5691)
34-35041 Exemption From Rule 10b-6 for Certain Dividend Reinvestment and Stock Purchase Plans
Federal Register version