SEC no-action letters
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No-Action Letters
You represent that each filing made in reliance on the requested relief would be made in compliance with the conditions of Rule 486(b), and that ...
The Non-U.S. SDs sought relief from such requirements when entering into swaps with a counterparty that is not a U.S. person.
The ESM was created following the euro area debt crisis by the Treaty Establishing the European Stability Mechanism made in 2012 among those countries within ...
“A” is hereby granted relief from the requirement in Commission regulation 4.7(b)(3) to file with NFA and distribute to participants an annual report for fiscal ...
Nadex requested relief, for itself and its market participants, as applicable, from various swap data reporting requirements of Parts 43 and 45 of the CFTC’s ...
CX and CC also requested relief from the requirements of Commission Regulations 45.3(e)(i)(B),2 45.5(d)(2) and 45.14(b) on behalf of CX’s participants. CX is a designated ...
On the basis of the facts and representations set forth in your letter, we would not recommend enforcement action to the Commission against NWQ under ...
The Division will not recommend that the Commission take enforcement action against CMECE for failing to comply with Section 5b of the CEA or Parts ...
In its request, the WMBAA contends that despite swap execution facility (“SEF”) efforts to continue to work on solutions to reduce operational and clerical errors,2 ...
