No-Action Letters

The Royal Bank of Canada seeks an exemption from Rules 101 and 102 of Regulation M in connection with its proposed acquisition by RBC.

      Securities Exchange Act of 1934 — Rule 14a-8 Opportunity Partners L.P. Shareholder Proposal (Clough Global Equity Fund) April 16, 2015 Clifford J. ...

The firm gets an exemption from Rules 101 and 102 of Regulation M under the Securities Exchange Act of 1934 in connection with a proposed ...

      Investment Company Act of 1940 — Sections 12(d)(1)(A) and (B) and 17(a) Franklin Templeton Investments April 3, 2015 RESPONSE OF THE OFFICE ...

No-Action Relief is provided to swap dealers from compliance with certain Commission regulations related to business conduct standards with counterparties and swap trading relationship documentation ...

The Division of Swap Dealer and Intermediary Oversight took a CPO and CTA registration no-action position with respect to the use of wholly-owned United States ...

The no-action letter gives relief from the timing requirements of 3.3(f)(2) for filing the Chief Compliance Officer Annual Report. The relief gives an additional ...

      Securities Exchange Act — Rule 14a-8(i)(7) Tom DeWard Shareholder Proposal (LMP Real Estate Income Fund, Inc.), (March 25, 2015) March 25, 2015 ...

The requester asked that its Global Markets Divisions be permitted to continue to engage in derivative arbitrage and hedging activities, as well as stock borrowing ...

This no-action letter from the SEC in 2015 relieves an investment adviser of certain requirements under the custody rule.