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Exemptive Orders Archive: 2005
Additional Archives
2008
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| 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999
Release No. |
Date |
Details |
Exemptive orders currently available include:
34-52514 |
Sep. 27, 2005 |
Order Granting Exemption to Liquidnet, Inc. from Certain Provisions of Regulation ATS under the Securities Exchange Act of 1934 |
34-52444 |
Sep. 15, 2005 |
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
Other Release No: IC-27067 |
34-52405 |
Sep. 9, 2005 |
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 |
34-51998 |
Jul. 8, 2005 |
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 15, 2005
Comments received are available for this notice.
Click to submit comments on S7-06-05
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34-51328 |
Mar. 8, 2005 |
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
See also: Final Rule, Rel. No. 34-44291 and comments;
Proposed Rule, Rel. No. 34-49879 and comments;
Other Rules, Rel. Nos. 34-50618, 34-47649, 34-47366, 34-46751, 34-46745, 34-45897, 34-44570 |
34-51253 |
Feb. 25, 2005 |
Order Exempting CIBC Mellon Trust Company from Broker-Dealer Registration |
http://www.sec.gov/rules/exorders/exordersarchive/exorders2005.shtml
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