SEC no-action letters
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No-Action Letters
The Request Letter represents that ESM’s mission is to provide financial assistance to a European Union member state that is also a member of the ...
NADB was created under the auspices of the North American Free Trade Agreement as a collaboration between the governments of the United States and Mexico. ...
CFTC No-Action Letter 17-56: The Chicago Mercantile Exchange (CME) receives permission to use its...
The form written acknowledgment letters required by Regulations 1.20, 1.26, and 22.5 do not contemplate the mechanics of CME Clearing’s Liquidity Facility, in which an ...
The letter provides that, subject to certain conditions, the Division will not recommend enforcement action against a swap execution facility (“SEF”) which does not capture ...
This extends previous no-action relief to November 2020.
the Sponsors request a position of no-action from DSIO with respect to a failure by an SD to comply with Commission Regulation 23.1537 requiring the ...
Investment Company Act of 1940 – Section 17(d) / Rule 17d-1 October 26, 2017 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...
Investment Company Act of 1940 and Rule 17d-1 thereunder, and Section 206 of the Investment Advisers Act of 1940 Investment Company Institute October ...
