No-Action Letters

This relates to Extension of the Relief with for swaps trading on certain multilateral trading facilities overseen by competent authorities designated by European Union member ...

This gives relief from compliance with certain requirements of regulation 3.3 relating to the CCO annual report.

This relief goes to certain members of a designated contract market (DCM) from the requirement to record oral communications under regulation 1.35(a).

This letter targets utility special entities, which may own or operate electric or natural gas facilities or supply energy.

The Division of Swap Dealer and Intermediary Oversight confirmed the availability of Staff Letter 00-10, which provided CPO registration relief to a university's cooperative extension ...

Extension of Time-Limited No-Action Relief to Eurex Clearing with Regard to Sections 5b(a) and 2(h)(1)(A) of the Commodity Exchange Act and Implementing Regulations Thereunder.

    Investment Company Act of 1940 — Section 15(a) RS Global Natural Resources Fund March 6, 2014 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...

LBG affiliates to continue to engage in these same specified transactions (or Market Activities) in LBG Ordinary Shares and LBG ADSs during the distribution of ...

Time-Limited No-Action Relief from Certain Provisions of the Treatment of Outward-Facing Swaps Condition in the Inter-Affiliate Exemption.

No-action letter providing time-limited no-action relief from the requirements of the trade execution requirement in Commodity Exchange Act (CEA) section 2(h)(8) to Eligible Affiliate Counterparties, ...