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Exchange Act Exemptive Applications
Section 36 of the Securities Exchange Act of 1934 provides the Commission with general exemptive authority with respect to that Act. By rule, regulation or order, the Commission may conditionally or unconditionally exempt persons, transactions or securities (or classes thereof) from any Exchange Act provision, rule or regulation. In order to do so, the Commission must determine that the exemption is necessary or appropriate in the public interest and is consistent with the protection of investors.
Exchange Act Rule 0-12 describes the procedures for seeking an exemption under Section 36. An application must be submitted to the Office of the Secretary either in paper or electronic format. These exemptive requests, if submitted electronically, must be sent to the mailbox
Exemptive applications submitted in paper should be sent to:
Subject to the Freedom of Information Act, exemptive applications received at either address will not be made available to the public by the Commission unless the Commission chooses to take action on the request.
If you want to submit an application for an exemptive order, please read Commission Release Number 34-39624.