SEC no-action letters
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No-Action Letters
SDs and MSPs continue to raise concerns about the burden of obtaining connectivity to all SDRs to which they would need to report valuation data ...
This has become standard practice -- providing relief under Advisers Act rule 206-4(3) to permit a guilty party to continue to offer cash solicitation.
The relief specified in (2) and (3) above is, in each case, subject to the following conditions: (i) The SD or MSP is either a ...
DMO believes it is appropriate to extend conditional no-action relief to Yieldbroker with regard to Section 5h(a)(1) of the Commodity Exchange Act and Commission Regulation.
You state that certain U.S.-based management employees of “B’s” U.S. investment advisers, and sometimes their immediate family, have contributed seed money to the
subfunds managed by ...
It was 1929, a watershed year for the financial services industry, when Adams Diversified Equity Fund Inc. opened its doors as an internally managed closed-end ...
Investment Company Act of 1940 — Section 12(d)(3) Adams Diversified Equity Fund Inc. April 30, 2015 RESPONSE OF THE CHIEF COUNSEL'S OFFICE ...
Investment Company Act of 1940 — Section 6(b), Rule 6b-1 Tudor Employee Investment Fund LLC and Tudor Investment Corporation April 28, 2015 ...
The Division of Market Oversight and the Division of Clearing and Risk are issuing a no-action letter that provides relief similar to that provided in ...
The Division of Market Oversight is issuing a no-action letter that extends No-Action Letter 14-108 and continues to provide relief from (1) the requirement that ...
