SEC no-action letters
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No-Action Letters
July 28, 2014 Your letter dated July 28, 2014 requests our assurance that we would not recommend enforcement action to the Securities and ...
No action relief to an entity and its affiliates for their failure to register as CPOs of pools holding volume production payment instruments, which issue ...
The Division of Market Oversight (DMO) is issuing a no-action letter that provides additional time for reporting parties to comply with certain reporting requirements of ...
DSIO is issuing a no-action letter providing additional time for futures commission merchants (FCMs) to comply with Commission regulations requiring FCMs to obtain acknowledgement letters ...
Time-limited no-action relief for ICE Clear Europe Limited with regard to Regulation 1.20(g)(4).
Time-limited no-action relief for LCH.Clearnet Limited with regard to Regulations 1.20(g)(4) and 22.5.
Time-limited no-action relief for the Chicago Mercantile Exchange, Inc. with regard to Regulations 1.20(d) and 22.5(a).
CFTC No-Action Letter 14-90: Grants swap dealers/major swap participants more time to comply with...
Extension of no-action relief granted by DMO on June 26, 2013 to SD and MSP reporting counterparties for cleared swaps from valuation data reporting required ...
Time-Limited Extension of the No-Action Relief Provided in CFTC Letter No. 13-41 regarding the reporting of identifying information under Parts 20, 45 and 46.
Time-limited no-action relief for Korea Exchange, Inc. with regard to Section 5b(a) of the Commodity Exchange Act and Commission Regulations thereunder.
