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No-Action letters (511)
Your search for No-Action letters returned 511 results.
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4/26/2019 | Content area: Investment Adviser
You also represent that in relying on the requested relief to sell common shares of beneficial interest, each Fund will sell newly issued shares at a...
4/15/2019 | Content area: Investment Adviser
the Advisers continued to serve as investment advisers to certain series of the Quaker Investment Trust (the “Trust”) for a limited period of time pur...
4/12/2019 | Content area: Broker-Dealer
Re: The Money Management Institute   Incoming letter dated April 2, 2019   Based on the facts and representations in your letter, and without necessar...
4/08/2019 | 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 the Fund if i...
4/05/2019 | Content area: CPO/CTA
No-action relief granted to ensure the continued availability, following Brexit, of regulatory relief under certain existing CFTC comparability determ...
4/05/2019 | Content area: CPO/CTA
This staff letter ensures that existing regulatory relief provided by DSIO, DMO, and DCR pursuant to certain existing staff letters affecting EU entit...
4/02/2019 | Content area: CPO/CTA
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 Commi...
3/29/2019 | Content area: CPO/CTA
CFTC won't pursue an enforcement action against a swap dealer acting as a prime broker pursuant to a prime brokerage arrangement.
3/12/2019 | Content area: Investment Adviser
We welcome input and engagement from all interested parties regarding the potential considerations posed by digital assets with respect to the Custody...
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...
2/28/2019 | Content area: Investment Adviser
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...
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...


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