SEC no-action letters
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No-Action Letters
Investment Company Act of 1940 — Rule 12d1-2 Dechert LLP — Request for Interpretation under Rule 12d1-2 January 25, 2017 RESPONSE OF ...
Invesco Senior Income Trust: SEC permits closed-end fund to file post-effective amendments to its...
Investment Company Act of 1940 — Rule 486(b) Invesco Senior Income Trust, et al. January 26, 2017 RESPONSE OF THE OFFICE OF CHIEF ...
No-action letter permitting, subject to certain conditions, the CPO of a pool comprised solely of sophisticated institutions that do not invest in the pool for ...
Investment Company Act of 1940 — Section 22(d) Capital Group January 11, 2017 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...
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 ...
You represent that as part of that process, the Board of each Investing Fund will consider, among other things, the calculation of the New Fees ...
No-action relief to DCOs, giving additional six months to begin reporting continuation data on swaps accepted for clearing, subject to certain conditions. Additional relief ...
Investment Company Act of 1940 – Section 17(e) Russell Investment Management, LLC December 16, 2016 Your letter dated December 9, 2016 requests our ...
No-action letter permitting a provision of the inter-affiliate exemption from required clearing (Commission regulation 50.52(b)(4)(ii)) to be relied upon for swaps executed between certain U.S. ...
As to the reasonableness of a broker-dealer's reliance on an investment adviser, we understand that broker-dealers seeking to rely on the no-action position taken in ...
