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Exemptive Orders

Additional Archives

Exemptive orders currently available include:

Release No. Date Details
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
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
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
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
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
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)
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)

 

http://www.sec.gov/rules/exorders.shtml


Modified: 09/10/2012