No-Action Letters

With respect to requesting and obtaining formal responses from relevant non-U.S. regulators or governing authorities, each reporting counterparty and reporting entity may rely on this ...

The Division of Swap Dealer and Intermediary Oversight provided no-action relief from CPO and CTA registration to the Board of Trustees of a pension plan ...

The ABA argues that the costs of clearing interest rate swaps, including recurring maintenance and transactional costs, are disproportionate to the limited number and notional ...

The Division will not recommend that the Commission take enforcement action against a CDFI for failure to clear interest rate swaps through a registered or ...

Rule 486(b) under the Securities Act, in relevant part, states that a post-effective amendment to a registration statement filed by a registered closed-end management investment ...

Based on your facts and representations, we would not recommend enforcement action to the Commission under Section 17(f) of the 1940 Act against a Fund ...

We would not recommend enforcement action to the Commission under Section 17(f) of the 1940 Act against a Fund if the Fund or its custodian ...

We would not recommend enforcement action to the Commission under Section 17(f) of the 1940 Act against a Fund if the Fund or its custodian ...

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