No-Action Letters Archives | Page 7 of 55 | Regulatory Compliance Watch

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

Financial Industry Regulatory Authority

BD Rules & Regulatory Actions

RCW Staff -

October 29 2018

Securities Industry and Financial Markets Association, Re: Treatment of Operating Leases under Rule 5c3-l

BD Rules & Regulatory Actions

RCW Staff -

October 23 2018

Independent Directors Council: No-Action Letter accepts giving CCO more responsibility with board oversight

IA Rules & Regulatory Actions

RCW Staff -

October 12 2018

We agree that the position you are requesting from us is consistent with the Commission’s approach in adopting Rule 38a-1 and would allow boards to ...

DNP Select Income Fund Inc.: SEC no-action letter permits post-effective amendments by closed-end fund

IA Rules & Regulatory Actions

RCW Staff -

October 4 2018

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 if it ...