SEC no-action letters
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No-Action Letters
The CFTC returns to a more than two-decade old policy that certain private fund advisers that are registered with the SEC can withdraw their CPO ...
MPD is issuing this letter to provide market participants certainty with respect to its treatment of ITBC Swaps initiated on an Eligible UK Trading Venue
The Commission grants wide-ranging (but not complete) enforcement relief from having to report certain swap transaction and data errors
The division will not recommend an enforcement action against any SFA Bank, an affiliate, or any other person involved in setting up or operating the ...
The Division of Trading and Markets "would not recommend enforcement action if a registered representative-owned personal services entity (PSE) received transaction-based compensation without registering as ...
You state that State Trust Companies that provide Crypto Asset custody services have implemented sophisticated controls to ensure safekeeping of Crypto Assets
The prior no-action guidance and rulemaking aren't necessary to encourage systemically important DCOs to maintain viable recovery and wind-down plans
SEC staff will not recommend enforcement action if a FINRA member relies on CRD to satisfy its record retention requirements under Rule 17a-4 for Form ...
The relief hinges on the securitization participant maintaining written policies and procedures designed to meet four conditions
"We agree that a high minimum investment amount is a relevant factor in verifying accredited investor status"
