No-Action Letters

The reason that the Fund Complex has a CPO registration issue with respect to “A” is because “B” is used as a conduit for the ...

Although “D” and “A” are not under common control, and neither “D” nor “A” controls the other, they will remain jointly and severally liable for ...

Based upon the representations made in the Correspondence, the Division will not recommend that the Commission commence any enforcement action against “A” for failure to ...

You also represent that in relying on the requested relief to sell common shares of beneficial interest, each Fund will sell newly issued shares ...

the Advisers continued to serve as investment advisers to certain series of the Quaker Investment Trust (the “Trust”) for a limited period of time pursuant ...

Re: The Money Management Institute   Incoming letter dated April 2, 2019   Based on the facts and representations in your letter, and without necessarily agreeing ...

we would not recommend that the Commission take any enforcement action under Section 5(b) or Section 6(a) of the Securities Act against the Fund ...

No-action relief granted to ensure the continued availability, following Brexit, of regulatory relief under certain existing CFTC comparability determinations and exemption orders originally issued by ...

This staff letter ensures that existing regulatory relief provided by DSIO, DMO, and DCR pursuant to certain existing staff letters affecting EU entities continues to ...