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No-Action letters (534)
Your search for No-Action letters returned 534 results.
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8/22/2019 | Content area: Investment Adviser
It’s been nearly a year since SEC Chairman Jay Clayton reminded everyone that staff guidance – such as FAQs, exemptive orders and “no-action” letters ...
8/15/2019 | Content area: Investment Adviser
Redwood Trust, Inc. Aug. 15, 2019   Investment Company Act of 1940 - Section 3(c)(5)(C)   August 15, 2019   RESPONSE OF THE CHIEF COUNSEL'S O...
8/12/2019 | Content area: Investment Adviser
Lehman Brothers Holdings Inc. Aug. 12, 2019   Investment Company Act of 1940 – Section 7 August 12, 2019 Response of the Chief Counsel’s Office...
8/08/2019 | Content area: Investment Adviser
It’s rare to see the SEC simultaneously issue two “no-action” letters with identical responses but that occurred Aug. 6 as separate closed-end funds g...
8/06/2019 | Content area: Investment Adviser
XAI Octagon Floating Rate & Alternative Income Term Trust Aug. 6, 2019   Response of the Office of Chief Counsel Division of Investment Managemen...
8/06/2019 | Content area: Investment Adviser
Cushing MLP & Infrastructure Total Return Fund and Cushing Renaissance Fund Aug. 6, 2019   RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF IN...
8/01/2019 | Content area: CPO/CTA
With the clock ticking down to the end of a two-year-old CFTC “no-action” letter on Aug. 12, the Commission has acted to extend the relief until the s...
7/31/2019 | Content area: CPO/CTA
DMO has determined that it is appropriate to grant the Associations’ request to extend CFTC Letter 17-37 to August 12, 2022. DMO believes that, for th...
7/22/2019 | Content area: CPO/CTA
The guidance clarifies the CIP and BO requirements applicable to introducing brokers (""IBs"") under the Bank Secrecy Act (""BSA""). The guidance prov...
7/11/2019 | Content area: Investment Adviser
An investment adviser received regulatory relief to rely upon existing exemptive guidance rather than having to ask the SEC’s Division of Investment M...
7/10/2019 | Content area: CPO/CTA
Advisory to FCMs and time-limited no-action relief to DCOs with respect to the treatment of separate accounts by FCMs.
7/09/2019 | Content area: CPO/CTA
Advisory clarifying that no documentation concerning the collection, posting and custody of initial margin is required to be completed until the initi...
7/09/2019 | Content area: Investment Adviser
The BNY Mellon Family of Funds, et al. July 9, 2019 Investment Company Act of 1940 – Section 15(a) Certain Disclosure Requirements July 9, 2019 ...
7/01/2019 | Content area: CPO/CTA
Based on Eris Clearing’s representations, it is the Division’s understanding that Eris Clearing would not need to perform monthly stress testing, beca...
6/27/2019 | Content area: Investment Adviser
A new “no-action” letter from the SEC’s Division of Investment Management gives an adviser relief from the Advisers Act’s prohibition on compensation ...
6/27/2019 | Content area: CPO/CTA
No-Action relief granted to registered floor traders from compliance with certain conditions in paragraph (6)(iv) of the "swap dealer" definition in C...
6/24/2019 | Content area: Investment Adviser
Golub Capital Investment Corporation, et al. June 24, 2019   Investment Advisers Act of 1940 – Section 205(b)(3)   June 24, 2019 Response of ...
6/24/2019 | Content area: Investment Adviser
Stradley Ronon Stevens & Young, LLP June 24, 2019 Investment Company Act of 1940 - Sections 5(b), 13(a)(1) and 34(b) June 24, 2019 RESPONSE OF T...
6/06/2019 | Content area: CPO/CTA
No-action relief granted to swap dealers from the uncleared swap margin requirements under Part 23 of the Commission's regulations with respect to cer...
5/23/2019 | Content area: CPO/CTA
The reason that the Fund Complex has a CPO registration issue with respect to “A” is because “B” is used as a conduit for the Funds’ de minimis commod...


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