No-Action Letters

(a) Except as provided in paragraphs (b) and (c) of this section, and except for applications for orders granting exemptions submitted pursuant to section 4(c) ...

(a) Definitions. For the purpose of this section: (1) Exemptive letter means a written grant of relief issued by the staff of a Division of ...

The Trust an exemption from Rule 101 of Regulation M to permit persons who may be deemed to be participating in a distribution of Shares ...

This is the 2015 rendition of the biannual no-action letter from the SEC's Division of Trading & Markets allowing broker-dealers through the customer identification (CIP) ...

In your letter dated January 5, 2015, you request assurances that the staff of the Division of Trading and Markets will not recommend enforcement action ...

This no-action letter redefines "Part 20 Identifying Information" for purposes of use of New Form 102S for swaps reporting. This no-action letter plays off an ...

This concerned an exemption from Rules 101 and 102 of Regulation M under the Securities Exchange Act of 1934 in connection with transactions by Santander ...

This no-action letter extends until April 30, 2015 the time FCMs can get depository letters confirming that the depositories agree to provide the Director of ...

The Division of Clearing and Risk extended the no-action relief granted in CFTC Letter 14-27 to Eurex Clearing and its U.S. clearing members with regard ...

Extension of time to furnish the 2014 annual report to the Commission.