Exchange Act Exemptive Notices and Orders

Release Number SEC Issue Date File Number Details
34-54389 Order Granting an Exemption for Qualified Contingent Trades From Rule 611(a) of Regulation NMS Under the Securities Exchange Act of 1934
Federal Register version (71 FR 52829)
34-54241 In the Matter of the Application of the Nasdaq Stock Market, Inc. and the NASDAQ Stock Market LLC for an Exemption From Section 12(a) Allowing Trading of Certain Unregistered Securities
Federal Register version (71 FR 45359)
34-53856 Order Granting Exemption to NYSE Market, Inc. and NYSE Arca, L.L.C. from Requirement to Register as a Securities Information Processor
34-53667 Order Exempting Computershare Trust Company of Canada and Computershare Investor Services Inc. from Broker Registration
34-53193 Order Granting Exemption to Liquidnet, Inc. from Certain Provisions of Rule 612 of Regulation NMS under the Securities Exchange Act of 1934
34-52840 81-934 Order Granting an Application of Global Industries, Ltd. Under Section 12(h) of the Securities Exchange Act of 1934
File No.: 81-934
Comments Due: November 26, 2005
Federal Register version (70 FR 72134)
See Also - 34-52733.pdf
34-52514 Order Granting Exemption to Liquidnet, Inc. from Certain Provisions of Regulation ATS under the Securities Exchange Act of 1934
34-52444, IC-27067 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; Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions From Specified Provisions of the Company Act and Certain Rules Thereunder
34-52405 S7-12-01 Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks From the Definition of "Broker" Under Section 3(a)(4) of the Securities Exchange Act of 1934
File No.: S7-12-01
Federal Register version (70 FR 54596)
34-51998 S7-06-05 Notice of an Application of the New York Stock Exchange, Inc. for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 and Request for Comment
File No.: S7-06-05
Comments Due: August 16, 2005
View Received Comments
Federal Register version (70 FR 40748)
Submit a Comment on S7-06-05
34-51328 S7-12-01 Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks From the Definition of "Broker" Under Section 3(a)(4) of the Securities Exchange Act of 1934
File No.: S7-12-01
Federal Register version (70 FR 12517)
See Also - Rel. No. 34-44291, Rel. No. 34-49879
34-51253 Order Exempting CIBC Mellon Trust Company from Broker-Dealer Registration
34-50754 Order Under Section 36 of the Securities Exchange Act of 1934 Granting an Exemption from Specified Provisions of Exchange Act Rules 13a-1 and 15d-1
34-50618 S7-12-01 Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks From the Definition of "Broker" Under Section 3(a)(4) of the Securities Exchange Act of 1934
File No.: S7-12-01
Federal Register version (69 FR 64607)
See Also - Rel. No. 34-44291, Rel. No. 34-49879
34-50376 Order Granting Exemption to National Association of Securities Dealers, Inc. From Certain Reporting Requirements Under Section 31 of the Exchange Act
Federal Register version (69 FR 56806)
34-50311 Order Granting Application for a Temporary Conditional Exemption Pursuant To Section 36(a) of the Exchange Act by the National Association of Securities Dealers, Inc. Relating to the Acquisition of an ECN by The Nasdaq Stock Market, Inc.
Federal Register version (69 FR 54818)
See Also - Nasdaq-Brut Exemption Request
34-49469 Joint Order Excluding Indexes Comprised of Certain Index Options From the Definition of Narrow-Based Security Index Pursuant to Section 1a(25)(B)(vi) of the Commodity Exchange Act and Section 3(a)(55)(C)(vi) of the Securities Exchange Act of 1934
Federal Register version (69 FR 16900)
34-49469 Joint Order Excluding Indexes Comprised of Certain Index Options From the Definition of Narrow-Based Security Index Pursuant to Section 1a(25)(B)(vi) of the Commodity Exchange Act and Section 3(a)(55)(C)(vi) of the Securities Exchange Act of 1934
Federal Register version (69 FR 16900)
34-49260 Order Granting Application for Exemptions Pursuant to Section 36(a) of the Exchange Act by the American Stock Exchange LLC, the International Securities Exchange, Inc., the Municipal Securities Rulemaking Board, the Pacific Exchange, Inc., the Philadelphia Stock Exchange, Inc., and the Boston Stock Exchange, Inc.
Federal Register version (69 FR 8500)
34-49038 Order Granting Temporary Exemption for Security Futures Products from the Definition of Penny Stock
34-47649 S7-12-01 Order Extending Temporary Exemption under Section 3(a)(4) of the Securities Exchange Act of 1934; Notice to Amend Rules
File No.: S7-12-01
See Also - Rel. No. 34-44291, Rel. No. 34-49879
34-47366 S7-12-01 Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks from the Definition of "Dealer" under Section 3(a)(5) of the Securities Exchange Act of 1934
File No.: S7-12-01
See Also - Rel. No. 34-44291, Rel. No. 34-49879
34-46751 S7-12-01 Order Extending Temporary Exemption under Section 3(a)(5) of the Securities Exchange Act of 1934
File No.: S7-12-01
See Also - Rel. No. 34-44291, Rel. No. 34-49879
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
File No.: 4-429
Federal Register version (67 FR 38687)
34-46003 S7-17-00 Order Granting Temporary Exemption for Broker-Dealers from the Trade-Through Disclosure Rule
File No.: S7-17-00
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
File No.: S7-12-01
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
File No.: S7-03-02
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
File No.: S7-12-01
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
File No.: 600-32
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
File No.: 600-31
Federal Register version (64 FR 5691)
34-35041 Exemption From Rule 10b-6 for Certain Dividend Reinvestment and Stock Purchase Plans
Federal Register version
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