SEC no-action letters
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No-Action Letters
Investment Company Act of 1940 — Section 17(f)(1) and Section 26(a) The Brink's Company February 11, 2014 RESPONSE OF THE OFFICE OF CHIEF ...
The Division is issuing a letter providing time-limited no-action relief to: (1) entities or counterparties transacting package transactions from the requirements of CEA section 2(h)(8); ...
Investment Company Act of 1940 – Section 7 and Rule 3c-5 Managed Funds Association February 6, 2014 Response of the Investment Adviser Regulation ...
The Division of Clearing and Risk issued a letter stating that it will not recommend that the Commission take enforcement action against ASX Clear (Futures) ...
A broker can deal with securities related to the ownership of a privately-held company without having to register as a broker-dealer.
This no-action letter from the SEC's Division of Trading & Markets in 2014 concerns a broker effecting securities transactions in connection with the transfer of ...
This letter follows on a controversial stance by the SEC that holds that some private equity firms should have to register as broker-dealers because they ...
Ms. Stephanie Hibler January 24, 2014 We would not recommend enforcement action to the Securities and Exchange Commission (“Commission”) under Section 206(4) of the Investment ...
No-action relief from compliance with certain conditions associated with the receipt of customer funds by FCMs.
No-action relief regarding the limitation on the holding of customer funds outside the U.S. under Regulation 30.7.
