No-Action Letters

The Division of Market Oversight issues time-limited no-action relief from certain requirements of Part 45 and Part 46 of the Commission’s Regulations, for certain swap ...

The Division of Market Oversight extended time-limited no-action relief to Swap Execution Facilities (SEFs) from certain requirements in the definition of “block trade” in Commission ...

You state that each Fund’s board of directors or trustees, including a majority of the independent directors or trustees, has concluded that a continuously effective ...

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 ...

The Division previously provided no-action relief for certain swaps required to be traded on a swap execution facility (SEF) or designated contract market (DCM) to ...

we would not recommend enforcement action to the Commission under Section 7 of the 1940 Act against certain BCTs or any Separate Account in which ...

We would not recommend enforcement action to the United States Securities and Exchange Commission ("Commission") under Section 206(4) of the Investment Advisers Act of 1940 ...

The Division of Clearing and Risk extended the no-action relief granted in CFTC Letter 14-156 to Eurex Clearing and its U.S. clearing members with regard ...

The Division of Market Oversight (DMO) is issuing a no-action letter that provides additional time for reporting parties to comply with certain reporting requirements of ...