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No-Action letters (521)
Your search for No-Action letters returned 521 results.
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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...
7/01/2019 | 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...
6/06/2019 | 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...
5/07/2019 | Content area: CPO/CTA
Although “D” and “A” are not under common control, and neither “D” nor “A” controls the other, they will remain jointly and severally liable for any v...
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...


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