No-Action Letters

The Cybersecurity Law will not become effective until June 1, 2017, and the Division understands that necessary implementing regulations have not yet been published. The ...

we would not recommend any enforcement action to the Commission under Section 6(b) of the Securities Act or Section 13(e) of the Exchange Act or ...

The Division will not recommend that the Commission take an enforcement action against Eurex Clearing for a violation of Commission Regulation 39.19(c)(3)(ii) or Condition 4 ...

You assert that the Fund, its shareholders and potential investors also would benefit if the Fund's Post-Effective Amendments that comply with the conditions of Rule ...

Absent the relief provided herein, University “A” Management Company and the “Z” Fund Directors could be required to register as CPOs with respect to their ...

Based on the foregoing and the representations made by “A”, and without making a determination as to whether the activity in question is a “covered ...

Because the WMBAA and its members have been unable to develop a solution to meet the confirmation requirements in Commission Regulation 37.6(b), it requests this ...

We ask the Staff of the Division of Trading and Markets (the "Staff ') of the Securities and Exchange Commission (the "SEC") to grant exemptive ...

The CFTC’s Division of Market Oversight further extends time-limited, conditional masking no-action relief provided in CFTC Letters 16-03 and 16-33 permitting Part 45 and Part ...