SEC no-action letters
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No-Action Letters
As the Commission stated in adopting Rule 17f-6 under the 1940 Act, maintaining assets in an FCM’s custody is not without risk.[16] As a result, ...
No-action letter extending the time-limitation contained in an alternative compliance framework available to certain affiliated counterparties pursuant to Commission regulation 50.52(b)(4)(ii)-(iii), extending the time-limitation permitting ...
No action letter extending relief from section 2(h)(8) of the Commission Exchange Act for any eligible affiliate counterparty that executes a swap transaction with another ...
Based on the facts and representations set forth in your letter, we would not recommend that the Commission take any enforcement action under Section 5(b) ...
The Division will not recommend that the Commission take an enforcement action against a non-U.S. SD or a non-U.S. MSP established in Australia, Canada, the ...
we would not recommend that the Commission take any enforcement action under Section 5(b) or Section 6(a) of the Securities Act against the Fund if ...
The Division also recognizes the amount of time and resources that a CCO must dedicate to the preparation of the ACR and is of the ...
Before the Commission grants an exemption from DCO registration, it must first execute a Memorandum of Understanding (“MOU”) with the clearing organization’s home country regulator. ...
There continues to be some confusion among market participants, particularly with respect to the execution of off-SEF block trades, as to whether counterparties may execute ...
the Division will not recommend that the Commission take enforcement action against CABEI for failure to comply with the Clearing Requirement. This letter does not, ...
