No-Action Letters

No-action relief for LCH.Clearnet Limited with regard to Regulations 1.20(g)(4) and 22.5, and an exemption from the requirements of Regulation 1.49(d)(3) for customer accounts held ...

You seek exemptive relief to permit UBS, UBS Group, and UBS's Affiliates and Departments, including UBS IB, UBS Wealth Management, UBS Global Asset Management, and ...

Securities Act of 1933 – Rule 486(b) Guggenheim Strategic Opportunities Fund October 2, 2014 Response of the Office of Chief Counsel Division Of Investment Management ...

No-action relief from compliance with certain terms of required Regulation 30.7(c). This was due to expire in March 2015.

SEFs and DCMs will have time-limited no-action relief from Commission Regulation 37.9(a)(2) regarding methods of execution for required transactions, or Commission Regulations 37.203(a) and 38.152 ...

The CFTC's Division of Market Oversight issued an extension of no-action letter 13-86, which provided relief in connection with certain CDS trades executed pursuant to ...

DMO is providing time-limited relief, subject to specified conditions, to SEFs from the requirement under section 43.2 until December 15, 2015, at 12:00 am EST. ...

You also seek an exemption to permit certain Santander Spain affiliates to conduct specified transactions in the U.S. in Santander Spain Shares and Santander Spain ...

Conditional no-action relief with respect to swaps trading on certain financial markets that are licensed in Australia and overseen by the Australian Securities & Investments ...

No-action letter permitting, subject to certain conditions, commodity pool operators of certain commodity pools that are non-registered investment companies ("Parent Pools") that use wholly-owned trading ...