No-Action Letters

This is a no-action letter from the SEC's Division of Trading and Markets released in early 2013 to continue a multi-year relief granted to broker-dealers. ...

No-Action Letter: J.P. Morgan Securities LLC (January 9, 2013) Investment Advisers Act of 1940 — Section 206(4) and Rule 206(4)-3 J.P. Morgan Securities LLC January ...

      Investment Advisers Act of 1940 — Section 203(a) TACT Asset Management Inc. October 24, 2012 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...

No-Action Letter: xx (March 27, 2012) Investment Company Act of 1940 — Section 7(d) Erste Abwicklungsanstalt October 10, 2012 RESPONSE OF THE OFFICE OF CHIEF ...

    Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 Chicago Mercantile Exchange September 27, 2012 RESPONSE OF THE OFFICE OF CHIEF ...

      Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 LCH.Clearnet Limited September 27, 2012 RESPONSE OF THE OFFICE OF CHIEF ...

      Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 Chicago Mercantile Exchange September 27, 2012 RESPONSE OF THE OFFICE OF ...

      Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 ICE Clear Credit LLC September 27, 2012 RESPONSE OF THE OFFICE ...