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Exemptive Orders Archive: 2006
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Release No. |
Date |
Details |
34-54766 |
Nov. 16, 2006 |
Order Granting the New York Stock Exchange Inc.’s (n/k/a the New York Stock Exchange LLC) Application for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934
File No.: S7-06-05
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34-54714 |
Nov. 6, 2006 |
Order Granting National Securities Exchanges a Limited Exemption from Rule 612 of Regulation NMS under the Securities Exchange Act of 1934 to Permit Acceptance by Exchanges of Certain Sub-Penny Orders
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34-54678 |
Oct. 31, 2006 |
Order Exempting Certain Sub-Penny Trade-Throughs from Rule 611 of Regulation NMS under the Securities Exchange Act of 1934 |
34-54544 |
Sep. 29, 2006 |
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
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34-54389 |
Aug. 31, 2006 |
Order Granting an Exemption for Qualified Contingent Trades from Rule 611(a) of Regulation NMS under the Securities Exchange Act of 1934 |
34-54241 |
Jul. 31, 2006 |
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
See also: Request for Relief from § 12 of the Securities Exchange Act of 1934 |
34-53856 |
May 24, 2006 |
Order Granting Exemption to NYSE Market, Inc. and NYSE Arca, L.L.C. from Requirement to Register as a Securities Information Processor |
34-53667 |
Apr. 18, 2006 |
Order Exempting Computershare Trust Company of Canada and Computershare Investor Services Inc. from Broker Registration |
34-53193 |
Jan. 30, 2006 |
Order Granting Exemption to Liquidnet, Inc. from Certain Provisions of Rule 612 of Regulation NMS under the Securities Exchange Act of 1934 |
http://www.sec.gov/rules/exorders/exordersarchive/exorders2006.shtml
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