SEC no-action letters
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No-Action Letters
The Relief concerns Exchange Act section 15(a)(1) and the reporting and other requirements specifically imposed by the Exchange Act, and the rules and regulations thereunder, ...
The Division of Swap Dealer and Intermediary Oversight (Division) took a CPO registration no-action position with respect to the operation of certain collective trading vehicles ...
will not recommend enforcement action to the Commission if a broker-dealer includes cash held in a reserve account at a non-affiliated U.S. branch of a ...
SIFMA persuaded the agency because "it will be unfeasibly difficult and expensive for broker-dealers to implement procedures and controls and make necessary technology changes to ...
This is limited no-action relief.
A new "no-action" letter from the SEC's Division of Investment Management opens the opportunity for more staff to invest in their firm's exempted private funds ...
No-Action Letter: MEAG MUNICH ERGO, (February 14, 2014) Investment Company Act of 1940 – Section 203(a) February 14, 2014 Your letter dated February 14, ...
No-Action Letter: Nuveen Investment Funds, February 14, 2014 Investment Company Act of 1940 – Rule 17(e)(1) February 13, 2014 Your letter dated February 12, 2014 ...
Time-Limited No-Action Relief with respect to Swaps Trading on Certain Multilateral Trading Facilities Overseen by Competent Authorities Designated by European Union Member States
Conditional No-Action Relief with respect to Swaps Trading on Certain Multilateral Trading Facilities Overseen by Competent Authorities Designated by European Union Member States
