SEC no-action letters
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No-Action Letters
CenturyLink does not hold itself out to the public as an investment adviser, provides investment advice only to the Plans and the Foundation, and ...
The Division will not recommend enforcement action to the Commission against a broker-dealer member of NSCC, pursuant to Exchange Act Rule 15c3-3, if NSCC invests ...
DSIO will not recommend an enforcement action against an FCM or an IB, in the case of an introduced account, that provides a non-institutional customer ...
The Division of Market Oversight (“Division”) continues to assess the situation involving inter-affiliate swap trading and the trade execution requirement, including establishing a permanent solution, ...
Because foreign jurisdictions have made significant progress in implementing mandatory clearing regimes, but have not yet fully implemented regimes that encompass the range of products ...
The Division will not recommend that the Commission take an enforcement action against a non-U.S. SD or a non-U.S. MSP established in Australia, Canada, the ...
You assert that, because investors in Contracts assume the same risks as variable contract owners who elect to receive the guaranteed lifetime income benefit, the ...
The Division will not recommend enforcement action to the Commission under Exchange Act Rule 1 Sc3-1 if a broker-dealer computing net capital adds back an ...
The Division of Market Oversight extended the no-action relief granted in CFTC Letter 15-55 for certain swaps required to be traded on a swap execution ...
The Division of Market Oversight is issuing a no-action letter that extends the relief provided in Letter No. 15-60 by permitting swap execution facilities (“SEFs”) ...
