No-Action Letters

Sales of securities on a subscription-way basis at NYLIFE typically involve a NYLIFE representative meeting with a customer, recommending a security, assisting the customer in ...

Extension of time-limited no-action relief with respect to certain Commodity Exchange Act provisions that may apply to Southwest Power Pool, Inc. and/or its participants

      Securities Act of 1933 — Rule 482 American Retirement Association February 18, 2015 Response of the Office of Chief Counsel Division of ...

Securities Exchange Act of 1934 – Rule 14a-8 February 18, 2015 Kathleen K. Clarke Seward & Kissel LLP 901 K Street, NW Washington, DC 20001 ...

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

The relief in this letter was due to expire Sept. 30, 2015. The topic relates to a broker-dealer's ability to obtain customer written consent prior ...

    Investment Advisers Act of 1940 – Section 202(a)(11)(D) Jonathon Hendricks January 26, 2015 Response of the Chief Counsel's Office Division of Investment Management ...

This action relates to a broker-dealer that effects repurchase transactions on behalf of their institutional customers. The B-D relies on electronic trade confirmations generated by ...

Request for No-Action Relief for Introducing Brokers' Compliance with Certain Financial Reporting and Capital Computation Requirements under Regulations 1.10 and 1.17.