No-Action Letters

This letter places conditions on entities that engage in insurance-linked securities transactions to avoid registering as a CPO.

This is another CFTC no-action letter dealing with the oral recordkeeping by CTAs. This letter extends the relief to CTAs that are members of a ...

This 2014 no-action letter from the SEC permits investment advisers and broker-dealers to share documents with the Certified Financial Planner Board of Standards without fear ...

The issue is if the entity can escape the collection of best bid, best offer, and quotation sizes communicated by members of the Exchange under ...

No-action letter again modifying the terms of previous No-Action Letter 13-22 for treasury affiliates entering into swaps on behalf of non-financial end-user affiliates that could ...

Investment Advisers Act of 1940 – Rule 206-4(3) Bank of America, N.A. Merrill Lynch, Pierce, Fenner & Smith Incorporated November 25, 2014 Response of the ...

This no-action letter from 2014 gives family offices the ability not to register as commodity trading advisors. The SEC has given certain family offices the ...

DSIO is issuing conditional no-action relief permitting a provisionally registered swap dealer to satisfy certain of its requirements under Rule 3.3 by reporting to, and ...

CFTC's Division of Market Oversight issues time-limited no-action relief from certain requirements of Part 45 and Part 46 of the Commission's regulations, for Certain Swap ...

The SEC grants the bank an exemption from Rules 101 and 102 of Regulation M to permit the Market-Making Subsidiary, the Trading Unit, the International ...