SEC no-action letters
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No-Action Letters
We would not recommend enforcement action to the Commission under section 203 of the Advisers Act if a firm relied on the exemption from registration ...
The Non-U.S. SDs sought relief from such requirements when entering into swaps with a counterparty that is not a U.S. person.
The Proposals request that the Boards of Trustees of each Fund implement certain procedures to prevent the Funds from holding investments in companies that, in ...
Based on the facts and representations contained in your letter and without necessarily agreeing with your analysis, the Division of Corporation Finance will not recommend ...
This July 2015 exemption letter from the CFTC exempts certain CTAs from filing Form CTA-PR with the CFTC that would normally be required. This relief ...
The SEC's Division of Corporation Finance grants this RIA relief because its collateralized loan obligation entity pre-dated a new rule
This relief involves a business development company arrangement.
You propose that each Division and Feeder Fund, in calculating its portion of annual share registration fees required by Section 24(f)(2) of the 1940 Act ...
