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No-Action letters (501)
Your search for No-Action letters returned 501 results.
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3/08/2019 | Content area: Investment Adviser
In recognition that business can be conducted from anywhere these days, the SEC’s Division of Investment Management has issued no-action relief reques...
1/10/2019 | Content area: Investment Adviser | Private Fund
In what may be the last SEC no-action letter released for some time due to the government shutdown, the Division of Investment Management last month g...
12/20/2018 | Content area: Investment Adviser | Private Fund
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 Ac...
10/29/2018 | Content area: Investment Adviser
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 it...
10/18/2018 | Content area: Investment Adviser
A new “no-action” letter from the SEC’s Division of Investment Management permits mutual fund boards to hand off to their CCOs the job of confirming e...
10/12/2018 | Content area: Investment Adviser
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 av...
10/04/2018 | Content area: Investment Adviser
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 fi...
9/20/2018 | Content area: Investment Adviser
It wasn’t the first time that an SEC chairman has reminded the world that only commissioners can make rules, not SEC staffers, but Jay Clayton’s state...
9/13/2018 | Content area: Investment Adviser
You state that each Fund’s board of trustees (the “Board”),[2] including a majority of independent trustees, has concluded that a continuously effecti...
9/07/2018 | Content area: Investment Adviser
Investment Company Act of 1940 — Section 57(a) and Rule 17d-1 Golub Capital BDC, Inc., et al. September 7, 2018 Response of the Chief Counsel's Offi...
7/20/2018 | Content area: Investment Adviser
    Securities Exchange Act of 1934 - Rule 14a-8 Asia Pacific Fund-Omission of Shareholder Proposal Submitted by Matisse Capi...
6/08/2018 | Content area: Investment Adviser
First FINRA created the ability of a broker to stop a money transfer if it suspects senior fraud (BD Watch, Jan. 4, 2018). Now the SEC’s Division of I...
6/01/2018 | Content area: Investment Adviser
You represent that financial exploitation of seniors and other vulnerable adults is a serious problem, with substantial amounts lost annually to senio...
5/11/2018 | Content area: Investment Adviser
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 do not conclude that y...
5/08/2018 | Content area: Investment Adviser
You argue that, so long as appropriate disclosure is provided, it would not be misleading for the Minis Division to continue to use the Minis performa...
3/08/2018 | Content area: Investment Adviser
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 to conclude...
2/22/2018 | Content area: CPO/CTA
Based on the facts presented and the representations SHCH has made, the Division will not recommend that the Commission take enforcement action agains...
2/20/2018 | Content area: CPO/CTA
The Division grants time-limited no-action relief to Relief DCO Counterparties, solely from the following reporting obligations: a. Reporting continua...
2/15/2018 | Content area: CPO/CTA
DSIO will not recommend that the Commission commence an enforcement action against an Applicant for failure to be registered with the Commission as an...
2/14/2018 | Content area: Investment Adviser
You represent that each filing concerning the Securities that is made in reliance on the requested relief would be made in compliance with the conditi...


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