SEC no-action letters
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No-Action Letters
The Division will not recommend an enforcement action under Regulation 1.25 against an FCM that continues to invest, on or after October 14, 2016, its ...
You argue that, because the Adviser Sub will be organized as a limited liability company, the proposed arrangement provides a level of insulation for the ...
The Divisions have not recommended that the Commission take an enforcement action against a Non-U.S. SD (whether or not an affiliate of a U.S. person) ...
We are unable to concur in your view that the Fund may exclude the Proposal under Rule 14a-8(c) of the 1934 Act. Accordingly, we do ...
This responds to your May 31, 2016 letter on behalf of MML Investors Services, LLC ("MMLISI"); MetLife Securities, Inc. ("MSJ"); and Thrivent Investment Management, Inc. ...
There are distinct financial safeguards afforded by holding customer funds at the BoC, as a central bank for a money center country, that merit an ...
We would not recommend enforcement action to the Commission against a Fidelity Entity if that Fidelity Entity continues to fulfill its regulatory requirements under the ...
The Divisions are issuing this no-action letter to extend the relief provided in CFTC Letter 15-24. Specifically, subject to the conditions listed below, the Divisions ...
Under the requested relief, SHCH would be permitted temporarily to clear certain swaps subject to mandatory clearing in the People’s Republic of China (“PRC”) for ...
Extension of conditional time-limited no-action relief for Yieldbroker Pty Limited with regard to Section 5h(a)(1) of the Commodity Exchange Act and Commission Regulation 37.3(a)(1) until ...
