No-Action Letters

We would not recommend enforcement action to the Commission under Section 7 of the 1940 Act if the Redwood Subsidiaries treat their investments in the ...

We would not recommend enforcement action to the Commission under the provisions of the 1940 Act and the rules thereunder covered by the Existing Orders ...

DMO will not recommend that the Commission commence an enforcement action against a Reporting Party for failure to comply with a refresh update requirement set ...

We would not recommend enforcement action to the U.S. Securities and Exchange Commission (the "Commission") against a Fidelity Entity if that Fidelity Entity continues to ...

You request relief from commodity pool operator (“CPO”) and commodity trading advisor (“CTA”) regulation on behalf of several universities with respect to (1) their collective ...

The Division will not recommend that the Commission commence any enforcement action against “B” for failure to register as a CPO under section 4m(1) of ...

The Division believes that granting “A” University no-action relief from CPO and CTA registration and the requirements of Regulation 4.20 is appropriate based on the ...

According to the SIFMA AMG/MFA Request, without relief addressing each of the items listed above, certain aspects of the Final Aggregation Rule are unworkable for ...