SEC no-action letters
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No-Action Letters
Securities Exchange Act of 1934 — Rule 14a-8(i)(5) JP Morgan Municipal Money Market Fund April 15, 2014 Frank J. Nasta Secretary JP Morgan ...
The investment manager of a cash collateralized loan obligation (CLO) transaction requested, and DSIO granted pursuant to Regulation 140.99, a no action position from DSIO ...
Conditional No-Action Relief with respect to Swaps Trading on Certain Multilateral Trading Facilities Overseen by Authorities Designated by European Union Member States
Investment Company Act – Section 7(a) Invesco Advisers, Inc. April 8, 2014 Your letter dated March 20, 2014 requests our assurance that we ...
An insurance company requested no-action relief from the Division, in order to allow the company to provide reinsurance of pension plans' longevity risks through multi-step ...
Extension of previously issued no-action.
The Division of Clearing and Risk issued a letter stating that it will not recommend that the Commission take enforcement action against Singapore Exchange Derivatives ...
Extension of no-action relief granted by DCR on September 23, 2013, allowing LCH.Clearnet Ltd to clear swaps executed on designated contract markets and swap execution ...
Extension of joint no-action relief granted by DCR and DMO on September 27, 2013, allowing LCH.Clearnet Ltd to clear contracts listed for trading on Nodal ...
Request for No-Action Relief From Rule 602 of Regulation NMS Submitted In Connection With NYSE Area's Proposal To Establish A Retail Price Improvement Program.
