No-Action Letters

The requesting parties provide a number of reasons why SEFs do not capture post-trade allocation information in their audit trail data, as required by Commission ...

Accordingly, the staff will not recommend enforcement action to the Commission under Rule 17a-5 or Rule 17a-12 if a broker-dealer or OTC derivatives dealer files ...

Extension of relief provided in CFTC Staff Letter No. 14-147, which relieves CTAs from the requirement to record oral communications under Regulation 1.35(a) and relief ...

Wells Fargo requests that the Divisions confirm that it will not recommend that the Commission initiate an enforcement action against Wells Fargo or its counterparties ...

Several years ago, the SEC granted relief for registrants facing conflicting Commission and ERISA rules (IA Watch, Nov. 7, 2011). Earlier this year, an SEC ...

In its request, ISDA asserted that applying the trade execution requirement to inter-affiliate swap transactions between eligible affiliate counterparties that do not satisfy § 50.52(b) ...

The Division, recognizing that additional time to use the alternative compliance frameworks will encourage an orderly transition period with regard to the timing and sequencing ...