Aug. 8, 2013 Order Temporarily Exempting Certain Broker-Dealers and Certain Transactions from the Recordkeeping and Reporting Requirements of Rule 13h-1 under the Securities Exchange Act of 1934
http://www.sec.gov/rules/exorders/2013/34-70150.pdf
MORE READING OF OTHER RULINGS HERE
| 34-70085 | Jul. 31, 2013 | Order Granting an Extension to Limited
Exemptions From Rule 612(c) of Regulation NMS In Connection With the
Exchanges' Retail Liquidity Programs
File Nos.: SR-NYSE-2011-55, SR-NYSEAmex-2011-84 See also: Incoming Letter |
| 34-69892 | Jun. 28, 2013 | Order Exempting Market Makers Participating in
NASDAQ Stock Market LLC’s Market Quality Program from Section 11(d)(1)
of the Securities Exchange Act of 1934 and Rule 11d1-2 thereunder
See also: Incoming Letter |
| 34-69872 | Jun. 27, 2013 | Order Pursuant to Section 17A of the
Securities Exchange Act of 1934 Granting Exemption from the Clearing
Agency Registration Requirement under Section 17A(b) of the Exchange Act
for ICE Clear Europe Limited in Connection With its Proposal to Clear
Contracts Traded on the LIFFE Administration and Management Market
See also: Related SRO Rule Filing: Rel. No. 34-69888 |
| 34-69831 | Jun. 21, 2013 | Order Granting Limited Exemptions from Exchange Act
Rule 10b-17 and Rules 101 and 102 of Regulation M to ALPS ETF Trust, the
VelocityShares Tail Risk Hedged Large Cap ETF, and the VelocityShares
Volatility Hedged Large Cap ETF
See also: Incoming Letter |
| 34-69707 | Jun. 6, 2013 | Order Granting a Limited Exemption from Rule 102 of
Regulation M Concerning the NYSE Arca, Inc.’s Exchange Traded Product
Incentive Program Pilot Pursuant to Regulation M Rule 102(e)
See also: SRO Order: 34-69706 |
| 34-69477 | Apr. 30, 2013 | Notice of an Application of W2007 Grace Acquisition I, Inc. under Section 12(h) of the Securities Exchange Act of 1934
File No.: 81-939 Comments due: June 5, 2013 See also: Application and Supplemental Letter Comments received are available.  Submit comments on 81-939 |
| 34-69281 | Apr. 3, 2013 | Order Temporarily Exempting Certain Broker-Dealers from the Recordkeeping, Reporting, and Monitoring Requirements of Rule 13h-1 under the Securities Exchange Act of 1934 |
| 34-69196 | Mar. 20, 2013 | Order Granting a Limited Exemption from
Rule 102 of Regulation M Concerning the NASDAQ Stock Market LLC Market
Quality Program Pilot Pursuant to Regulation M Rule 102(e)
See also: Related SRO Rule Filing: Rel. No. 34-69195 |
| 34-69199 | Mar. 20, 2013 | Order Granting TriLinc Global Impact
Fund, LLC a Limited Exemption from Rule 102(a) of Regulation M pursuant
to Rule 102(e) of Regulation M
See also: Incoming Letter |
| 34-69060 | Mar. 7, 2013 | Order Granting a Temporary Exemption
Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 from
the Filing Deadline Specified in Rule 613(a)(1) of the Exchange Act
See also: Incoming Letter |
| 34-68995 | Feb. 27, 2013 | Order Granting Limited Exemptions from
Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ALPS
ETF Trust and U.S. Equity High Volatility Put Write Index Fund Pursuant
to Exchange Act Rule 10b-17(b)(2) and Rule 101(d) and 102(e) of
Regulation M
File No.: TP 13-04 See also: Incoming Letter |
| 34-68934 | Feb. 14, 2013 | Order Extending Temporary Exemptions From Certain Rules Of Regulation SHO Related To Hurricane Sandy
File No.: TP 13-06 See also: Incoming Letter |
| 34-68864 | Feb. 7, 2013 | Order Extending Temporary Exemptions
under the Securities Exchange Act of 1934 in Connection with the
Revision of the Definition of “Security” to Encompass Security-Based
Swaps, and Request for Comment
File No.: S7-27-11 Submit comments on S7-27-11
See also: Exemptive Order Release No. 34-64795 and comments |
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