No-Action Letters

Bank of America Corporation and Affiliates (“BAC”): No Action, Interpretive and/or Exemptive Letter of April 29, 2011 Securities Exchange Act of 1934 Section 16 Investment ...

No-Action Letter: New Mountain Finance Corporation (April 27, 2011) Investment Company Act of 1940 — Section 55(a) New Mountain Finance Corporation April 27, 2011 RESPONSE ...

A recent SECno-action letter grants flexibility to an investment adviser that oversees mutual fund portfolios when it comes to alerting shareholders of the hiring of ...

No-Action Letter: Nationwide Mutual Funds, et al. (April 5, 2011) Investment Company Act of 1940 — Section 15(a) Nationwide Mutual Funds, et al. April 5, ...

This is an SEC no-action letter that declares a booklet containing a partial list of clients as an advertisement even though it was intended for ...

This is an SEC no-action letter from the Division of Trading and Markets provided to the Certified Financial Planner Board of Standards in March 2011. ...

This is a no-action letter from the SEC's Division of Trading and Markets released in 2011. It relates to shares of a qualifying ETF.

This is a continuation of the SEC's no-action relief for broker-dealers to rely upon an investment adviser's customer identification program (CIP). This letter is due ...