No-Action Letters

No-action relief granted to an entity for its branch from registration as an IB pursuant to CEA Section 4d(g) to provide sufficient time for the ...

CFTC won't pursue an enforcement action against a swap dealer acting as a prime broker pursuant to a prime brokerage arrangement.

We welcome input and engagement from all interested parties regarding the potential considerations posed by digital assets with respect to the Custody Rule.

You state that the purpose of your letter is to request from the staff a no-action position for certain situations where in-person voting requirements may ...

Staff Letter No-Action relief under Section 206(4) and Rule 206(4)-2 under the Investment Advisers Act of 1940 Dec. 20, 2018 Investment Advisers Act Section 206(4) ...

Accordingly, the Division will not recommend enforcement action to the Commission under Exchange Act Rule 17a-8 if abroker-dealer treats an investment adviser as if it ...