SEC no-action letters
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No-Action Letters
BCP can file Form N-23C-2 on the same business day as the Company’s redemption of an entire class or series of its preferred shares
Revised no-action position with respect to uncleared swaps with the European Stability Mechanism under Commission Regulations 23.150-159, 23.161.
Revised no-action relief for the European Stability Mechanism from the swap clearing requirement in Section 2(h)(1) of the Commodity Exchange Act and Commission Regulations 50.2 ...
Redwood Trust, Inc. Aug. 15, 2019 Investment Company Act of 1940 – Section 3(c)(5)(C) August 15, 2019 RESPONSE OF THE CHIEF COUNSEL'S ...
Lehman Brothers Holdings Inc. Aug. 12, 2019 Investment Company Act of 1940 – Section 7 August 12, 2019 Response of the Chief Counsel’s Office ...
XAI Octagon Floating Rate & Alternative Income Term Trust Aug. 6, 2019 Response of the Office of Chief Counsel Division of Investment Management August ...
Cushing MLP & Infrastructure Total Return Fund and Cushing Renaissance Fund: Closed-end fund gain...
Cushing MLP & Infrastructure Total Return Fund and Cushing Renaissance Fund Aug. 6, 2019 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...
With the clock ticking down to the end of a two-year-old CFTC “no-action” letter on Aug. 12, the Commission has acted to extend the relief ...
DMO has determined that it is appropriate to grant the Associations’ request to extend CFTC Letter 17-37 to August 12, 2022. DMO believes that, for ...
