| Release No. |
Date |
Details |
Exemptive orders currently available include:
| 34-50376 |
Sep. 14, 2004 |
Order Granting Exemption to National Association of Securities Dealers, Inc. from Certain Reporting Requirements Under Section 31 of the Exchange Act |
| 34-50311 |
Sep. 3, 2004 |
Order Granting Application for a Temporary Conditional Exemption Pursuant to Section 36(a) of the Exchange Act by the National Association of Securities Dealers, Inc. Relating to the Acquisition of an ECN by The Nasdaq Stock Market, Inc.
See also: Nasdaq-Brut Exemption Request |
| 34-49469 |
Mar. 25, 2004 |
Joint Order Excluding Indexes Comprised of Certain Index Options from the Definition of Narrow-Based Security Index pursuant to Section 1a(25)(B)(vi) of the Commodity Exchange Act and Section 3(a)(55)(C)(vi) of the Securities Exchange Act of 1934 |
| 34-49260 |
Feb. 17, 2004 |
Order Granting Application for Exemptions Pursuant to Section 36(a) of the Exchange Act by the American Stock Exchange LLC, the International Securities Exchange, Inc., the Municipal Securities Rulemaking Board, the Pacific Exchange, Inc., the Philadelphia Stock Exchange, Inc., and the Boston Stock Exchange, Inc. |
| 34-49038 |
Jan. 8, 2004 |
Order Granting Temporary Exemption for Security Futures Products from the Definition of Penny Stock |
| 34-47366 |
Feb. 13, 2003 |
Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks from the Definition of "Dealer" under Section 3(a)(5) of the Securities Exchange Act of 1934 |
| 34-46003 |
May 30, 2002 |
Order Granting Temporary Exemption for Broker-Dealers from the Trade-Through Disclosure Rule
Release No.: 34-46003;
File No.: S7-17-00 |
| 34-46001 |
May 30, 2002 |
Joint Industry Plan; Order Granting Approval of Joint Amendments Nos. 2 and 3 to the Options Intermarket Linkage Plan Relating to Satisfaction of Trade-Throughs, the Procedures for Handling Multiple Principal Orders, Restrictions on Withdrawal, and an Implementation Timetable
Release No.: 34-46001;
File No.: 4-429 |
| 34-45730 |
Apr. 11, 2002 |
Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Certain Provisions of the Act and Rules Thereunder |
| 33-8070 |
Mar. 18, 2002 |
Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Certain Provisions of the Act and Rules Thereunder |
| 33-8070 |
Mar. 18, 2002 |
Order Under Sections 6(b), 6(c), and 38(a) of the Investment Company Act of 1940 and Sections 206A and 211(a) of the Investment Advisers Act of 1940 Granting Exemptions From Certain Provisions of the Acts and Rules Thereunder |
| 33-8070 |
Mar. 18, 2002 |
Order Under Sections 20(a) and 20(d) of the Public Utility Holding Company Act of 1935 Granting Exemptions From Certain Provisions of the Act and Rules Thereunder |
| 34-45179 |
Dec. 20, 2001 |
Re: Extending Broker-Dealer Exemption from Sending Financial Information to Customers |
| 34-44916 |
Oct. 10, 2001 |
Re: Government Securities Reconciliations |
| 34-44874 |
Sep. 28, 2001 |
Re: Exemptive Relief to Respond to Market Developments, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 |
| 34-44871 |
Sep. 28, 2001 |
Re: Government Securities Reconciliations |
| 34-44839 |
Sep. 24, 2001 |
Re: Government Securities Reconciliations |
| 34-44188 |
April 17, 2001 |
Global Joint Venture Matching Services - US, LLC; Order Granting Exemption from Registration as a Clearing Agency
Release No.: 34-44188;
File No.: 600-32
Comments received electronically are available for this notice. |
| 34-41003 |
Jan. 29, 1999 |
Thomson Financial Technology Services, Inc.; Notice of Filing of Application for Exemption From Registration as a Clearing Agency
Release No.: 34-41003;
File No.: 600-31 |
