No-Action Letters

    Investment Company Act of 1940 — Section 17(f) Chicago Mercantile Exchange – II July 29, 2011 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...

No-Action Letter: J.P. Morgan Securities LLC (July 11, 2011) Investment Advisers Act of 1940 – Section 206 and Rule 206(4)-3 J.P. Morgan Securities LLC July ...

No-Action Letter: J.P. Morgan Securities LLC (June 29, 2011) Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-3 J.P. Morgan Securities LLC June ...

No-Action Letter: Main Street Capital Corporation (June 20, 2011) Investment Company Act of 1940 – Section 32(a) and Rule 32a-4 Main Street Capital Corporation June ...

The SEC issued this no-action letter permitting a private equity entity or one of its funds to purchase shares in foreign funds in excess of ...

BAC Home Loans Servicing, LP (formerly Countrywide Home Loans Servicing LP) Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-3 BAC Home Loans ...

    Investment Advisers Act of 1940 — Rule 206(4)-3 UBS Financial Services Inc. May 9, 2011 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION ...

No-Action Letter: College Retirement Equities Fund (“Fund”) Shareholder Proposal of Aaron Levitt (May 6, 2011) Securities Exchange Act of 1934 — Rule 14a-8(i)(7) College Retirement ...