No-Action Letters

This is an extension of a previous no-action letter from the CFTC.

The SEC sees the social good that this non-profit can do via this letter that permits Social Finance to raise funds to help social service ...

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 previously provided no-action relief for certain swaps required to be traded on a swap execution facility (SEF) or designated contract market (DCM) to ...

Your letter dated October 31, 2014 requests our assurance that we would not recommend enforcement action to the Securities and Exchange Commission (“Commission”) under Section ...

No-action letter again extending the time-limitation contained in an alternative compliance framework available to certain affiliated counterparties pursuant to Commission regulation 50.52(b)(4)(ii)-(iii).

The Division of Market Oversight is extending the relief provided in CFTC Letter No. 14-26 for one year, until December 31, 2015. The letter ...

Securities Exchange Act of 1934 – Rule 14a-8 November 6, 2014 Steven B. King Ballard Spahr LLP 1735 Market Street, 51st Floor Philadelphia, PA  19103-7599 ...

Time-limited no-action relief to allow Southwest Airlines and its counterparties additional time for public reporting of long-dated Brent and WTI crude oil swap and swaption ...

DSIO granted no action relief with respect to registration as a CPO for an entity acting as a directed trustee with respect to a commodity ...