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We ask the Staff of the Division of Trading and Markets (the "Staff ') of the Securities and Exchange Commission (the "SEC") to grant exemptive ...
The staff will not recommend enforcement action to the Commission under Rule 17a-5 or Rule 17a-12 if a broker-dealer or OTC derivatives dealer files the ...
As to the reasonableness of a broker-dealer's reliance on an investment adviser, we understand that broker-dealers seeking to rely on the no-action position taken in ...
The Division will not recommend enforcement action to the Commission against a broker-dealer member of NSCC, pursuant to Exchange Act Rule 15c3-3, if NSCC invests ...
The Division will not recommend enforcement action to the Commission under Exchange Act Rule 1 Sc3-1 if a broker-dealer computing net capital adds back an ...