No-Action Letters

The Division of Investment Management would not recommend enforcement action to the Commission under Section 206(4) of, and Rule 206(4)-2 under, the Advisers Act if ...

You propose that, if an Adviser determines to sell out of a client position consisting of whole shares and fractional shares, the Adviser or a ...

In this April 2016 CFTC NAL, the Division is granting two components of no-action relief. The first component, described in Section I below, extends no-action ...

In response to the February 2016 FIA Letter, the Division is providing relief, via this no-action letter (the “April 2016 CFTC NAL”), from reporting certain ...

Consistent with CFTC Staff Letters 12-37 and 14-143, and its past practice in this area, the Division granted no-action relief from CPO and CTA registration ...

However, Commerzbank AG does not complete its report by the CFTC deadline because its home jurisdiction requirements do not have a filing deadline for the ...

However, Deutsche Bank AG does not complete its report by the CFTC deadline because its home jurisdiction requirements do not have a filing deadline for ...

We would not recommend enforcement action to the Commission under section 12(d)(2) of the Company Act against the Fund if the Fund, or the company ...

This no-action letter is being issued simultaneously with Federal Register Notice __ (“the Notice”), pursuant to which the Commission makes a comparability determination regarding the ...

Extension of Time-Limited No-Action Relief with Respect to Certain Commodity Exchange Act Provisions That May Apply to Southwest Power Pool, Inc. and/or Its Participants