SEC no-action letters
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No-Action Letters
We are unable to concur in your view that the Fund may exclude the Proposal from the Proxy Materials under Rule 14a-8(i)(3). We are unable ...
March 1, 2018 Response of the Office of Chief Counsel Division of Corporation Finance and the Office of Market Supervision Division of Market Regulation Claudia ...
Based on the facts presented and the representations SHCH has made, the Division will not recommend that the Commission take enforcement action against SHCH for ...
The Division grants time-limited no-action relief to Relief DCO Counterparties, solely from the following reporting obligations:
a. Reporting continuation data pursuant to § 45.4 on Relief ...
DSIO will not recommend that the Commission commence an enforcement action against an Applicant for failure to be registered with the Commission as an IB ...
