Response to Notification of Termination of Exemptive Relief Issued Pursuant to Regulation 30.10

Commission regulation 30.10 provides a process by which persons located outside the U.S. and subject to a comparable regulatory structure in the jurisdiction in which they are located to seek an exemption from certain of the requirements under Part 30 of the Commission’s regulations. Regulation 30.10 codifies the process by which the Commission may terminate such exemptive relief after appropriate notice and opportunity to respond. Regulation 30.10(c)(3) provides any party affected by the Commission’s determination to terminate relief with the opportunity to respond to the notification in writing no later than 30 business days following the receipt of the notification, or at such time as the Commission permits in writing. These reporting requirements are necessary for the ongoing evaluation of the effectiveness of the Commission’s program for regulatory deference.

The latest form for Response to Notification of Termination of Exemptive Relief Issued Pursuant to Regulation 30.10 expires 2026-06-30 and can be found here.