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Exchange Act Exemptive Notices and Orders

| Release Number | SEC Issue Date | File Number | Details |
| --- | --- | --- | --- |
| 34-104944 |
March 6, 2026
| S7-2026-07 | Notice of Request for Exemptive Relief, Pursuant to Section 36(a) of the Securities Exchange Act of 1934, from Certain Aspects of Rule 17ad-22(e)(18)(iv) of the Securities Exchange Act of 1934 and Request for Comment
File No.: S7-2026-07
Comments Due: 30 days after date of publication in the Federal Register.
Submit a Comment on S7-2026-07 |
| 34-104931 |
March 5, 2026
| | Order Granting Directors and Officers of Certain Foreign Private Issuers an Exemption from the Filing Requirements of Section 16(a) of the Exchange Act |
| 34-104894 |
Feb. 25, 2026
| S7-2026-06 | Notice of an Application of the 24X National Exchange LLC for a Temporary, Conditional Exemption From Certain Requirements of Rule 602 of Regulation NMS, Certain Requirements of Certain Equity Data Plans, and Section 19(g)(1) of the Securities Exchange...
File No.: S7-2026-06
Comments Due: April 1, 2026
View Received Comments
Submit a Comment on S7-2026-06 |
| 34-104881 |
Feb. 24, 2026
| | Amended and Restated 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 of Less than $100 Million and Total Assets of Less than $1 Billion |
| 34-104786 |
Feb. 10, 2026
| S7-2026-04 | Notice of an Application of the Chicago Mercantile Exchange Inc. for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 and Request for Comment in Connection with the Opening Price Settlement Requirements of Rule 6h-1(b)...
File No.: S7-2026-04
Comments Due: March 16, 2026
Submit a Comment on S7-2026-04 |
| 34-104664 |
Jan. 23, 2026
| | Order Granting Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Thereunder, from Certain Requirements of the National Market System Plan Governing the Consolidated... |
| 34-104663 |
Jan. 23, 2026
| | Order Extending Temporary 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 Thereunder, from Certain Requirements of Appendix D, Section 3 of the National.. |
| 34-104662 |
Jan. 23, 2026
| | Order Granting Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Thereunder, Relating to the Reporting of Responses to Requests for Quotes and Other Solicitation... |
| 34-104625 |
Jan. 16, 2026
| | Order Granting Limited Exemption Pursuant to Rule 612(d) of Regulation NMS to Cboe BYX Exchange, Inc. from Rule 612 of Regulation NMS
See Also - Incoming Letter |
| 34-104612 |
Jan. 15, 2026
| | Order Granting Temporary Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 from Compliance with Rule 600(b)(69)(ii) of Regulation NMS
See Also - Incoming Letter, Comment Letter |
| 34-104573 |
Jan. 9, 2026
| | Order Granting Temporary Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934, from Certain Aspects of Rule 3a71-2(a)(1) |
| 34-104303 |
Dec. 3, 2025
| | Order Granting Temporary Exemptive Relief, Pursuant to Sections 13(f)(3) and 36(a)(1) of the Securities Exchange Act of 1934 from Compliance with Rule 13f-2 and Form SHO, and Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 from... |
| 34-104172 |
Oct. 31, 2025
| | Order Granting Temporary Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rules 610(f) and 612(d) of Regulation NMS, from Compliance with Rule 600(b)(89)(i)(F), Rule 610(c), Rule 610(d) and Rule 612 of... |
| 34-104172 |
Oct. 31, 2025
| S7-30-22 | Order Granting Temporary Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rules 610(f) and 612(d) of Regulation NMS, from Compliance with Rule 600(b)(89)(i)(F), Rule 610(c), Rule 610(d) and Rule 612 of...
File No.: S7-30-22
View Received Comments |
| 34-104144 |
Sept. 30, 2025
| | 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 Thereunder, from Certain Requirements of the National Market System Plan Governing the... |
| 34-103912 |
Sept. 9, 2025
| | Order Granting Application by NYSE Texas, 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 |
| 34-103560 |
July 28, 2025
| | Order Granting Temporary Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934, from Certain Aspects of Rule 10c-1a |
| 34-103528 |
July 23, 2025
| | Order Extending 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... |
| 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...
File No.: 4-698
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
File No.: S7-2024-07
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
File No.: S7-23-22
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
File No.: 4-698
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
File No.: S7-2024-07
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
File No.: 4-795
View Received Comments
See Also - 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
See Also - 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
File No.: S7-13-12
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
Federal Register version (86 FR 55663)
See Also - LLC |
| 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
File No.: SR-NYSEArca-2020-56
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
File No.: S7-23-20
Comments Due: February 12, 2021
View Received Comments
Federal Register version (86 FR 2311)
See Also - Request for Exemptive Relief from OTC Link LLC
Submit a Comment on S7-23-20 |
| 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
File No.: S7-24-11
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
File No.: S7-13-12
View Received Comments
Federal Register version (85 FR 70657)
Submit a Comment on S7-13-12 |
| 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)
See Also - 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
File No.: S7-13-20
Comments Due: November 13, 2020
View Received Comments
Federal Register version (85 FR 64542)
See Also - Press Release 2020-248
Submit a Comment on S7-13-20 |
| 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)
See Also - 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)
See Also - 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
File No.: TP-20-02
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
See Also - 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
File No.: TP-20-01
See Also - 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
File No.: S7-16-19
Comments Due: December 10, 2019
View Received Comments
Federal Register version (84 FR 54062)
Submit a Comment on S7-16-19 |
| 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
File No.: SR-NYSEARCA-2013-107
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
File No.: SR-BYX-2012-019
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)
File No.: TP-19-03
See Also - 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
File No.: SR-BYX-2012-019
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
File No.: TP-18-16
See Also - 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
File No.: SR-BYX-2012-019
Federal Register version (83 FR 38748) |
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