No-Action Letters

The Division of Swap Dealer and Intermediary Oversight granted no-action relief from the requirement to register as a commodity pool operator to a Delegating CPO ...

Barclays receives an exemption from Rules 101 and 102 of Regulation M to permit the Derivatives Market Making Units and Hedging Units; the Asset Managers; ...

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).

The bank sought a limited exemption from Exchange Act Rule 102 of Regulation M for the distribution of ordinary shares of NBG in the form ...

Time-limited no-action relief for OTC Clearing Hong Kong Limited with regard to Sections 5b(a) and 2(h)(1)(A) of the Commodity Exchange Act and implementing regulations thereunder.

DMO and DCR issued no-action relief, providing the phased-in compliance for package transactions which include at least one swap that has been made available to ...

Time-Limited No-Action Relief for Certain Members of Swap Execution Facilities and Designated Contract Markets from the Requirement to Record Oral Communications, Pursuant to Commission Regulation ...

No-action relief regarding format of acknowledgment letters and format and content of daily reports for DCO winding down operations in anticipation of vacating its DCO ...

The Gabelli Convertible & Income Securities Fund Inc., et al. Securities Act of 1933 – Section 5(b) or Section 6(a) The Gabelli Convertible & Income ...

The Division of Clearing and Risk and Division of Market Oversight issued a no-action letter providing time-limited and specific relief for designated contract markets from ...