Commission Orders and Notices
The Commission may conditionally or unconditionally grant exemptions from provisions, rules, or regulations upon application when it is necessary and appropriate in the public interest and consistent with the protection of investors.
A compilation of notices and Commission orders granting exemptive relief under the Exchange Act. Access Exchange Act Exemptive Application information.
A compilation of notices or applications and corresponding Commission orders for registration cancellation or exemptive relief under the Investment Advisers Act.
A compilation of applications and corresponding Commission orders for exemptive or other relief under the Investment Company Act.
Investment Company Act Deregistration Notices and Orders
A compilation of notices of applications for deregistration and corresponding Commission orders under section 8(f) of the Investment Company Act.
Other Commission Orders, Notices, and Information
A compilation of orders, notices, and other information pertaining to issues other than exemptive relief such as whistleblower award claims, fee rates, and specific requests for public comment.
Last Reviewed or Updated: July 2, 2024