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Exemptive Orders
Additional Archives
2012 | 2011 | 2010 | 2009 |2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999
Release No. |
Date |
Details |
Exemptive orders currently available include:
34-67804 |
Sep. 7, 2012 |
Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to iShares, Inc. and iShares MSCI Frontier 100 Index Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rule 101(d) and 102(e) of Regulation M
File No.: TP 12-10
See also: Incoming Letter
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34-67620 |
Aug. 8, 2012 |
Order Granting Business Development Corporation of America a Limited Exemption from Rule 102(a) of Regulation M pursuant to Rule 102(e)
File No.: TP 12-12
See also: Incoming Letter
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34-67480 |
Jul. 20, 2012 |
Order Extending Temporary Conditional Exemption in Connection With the Effectiveness of the Definition of Eligible Contract Participant
File No.: S7-24-11
See also: Order: Release No. 34-64678; Security-Based Swaps Implementation Policy Statement
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34-67215 |
Jun. 19, 2012 |
Order Granting a Limited Exemption from Exchange Act Rule 10b-17 to Certain Actively Managed Exchange-Traded Funds Pursuant to Exchange Act Rule 10b-17(b)(2)
File No.: TP 11-07
See also: PIMCO ETF Trust Request Letter
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34-67163 |
Jun. 7, 2012 |
FS Investment Corporation II (Order Granting FS Investment Corporation II a Limited Exemption from Rule 102(a) of Regulation M pursuant to Rule 102(e))
File No.: TP 12-11
See also: FS Investment Corporation II Request Letter
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34-66839 |
Apr. 20, 2012 |
Broker-Dealers (Order Temporarily Exempting Broker-Dealers from the Recordkeeping, Reporting, and Monitoring Requirements of Rule 13h-1 under the Securities Exchange Act of 1934 and Granting an Exemption for Certain Securities Transactions)
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34-66624 |
Mar. 20, 2012 |
Edward Jones & Co. LP (Order Granting an Application of Edward Jones & Co. LP Exemption from Exchange Act Section 11(d)(1) pursuant to Exchange Act Section 36(a)) |
34-66541 |
Mar. 8, 2012 |
BF Enterprises, Inc. (Order Granting an Application of BF Enterprises, Inc. under Section 12(h) of the Securities Exchange Act of 1934)
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http://www.sec.gov/rules/exorders.shtml
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