Retrieving SEC No|Action Letters
No Action, Interpretive and Exemptive Letters - SEC.gov
Correspondence from SEC staff in response to requests for no-action, interpretive, or exemptive letters. Find no-action letters issued by:
Retrieving SEC No-Action Letters
You can retrieve SEC No Action Letters by searching for keyword, company name, law firm name, date, the law/reg/rule that the NAL concerns, or a combination of ...
No Action Letters | Investor.gov
... no-action" letter from the SEC staff ... Getting Started. BACK; Five Questions to Ask Before You Invest · Understanding Fees · Asset Allocation · Assessing Your ...
Requests for No-Action, Interpretive, Exemptive, and Waiver Letters
We welcome written requests for no-action, interpretive, exemptive and waiver letters relating to the areas of the federal securities laws.
Capital Markets, Overview - Using SEC No-Action Letter Search
No-action letters provide the informal views of SEC staff on a matter that might constitute a violation of the federal securities laws.
SEC No-Action Letter | Practical Law - Westlaw
When the SEC staff issues a no-action letter, it usually confirms in the letter that it will not recommend that the SEC take enforcement action ...
SEC No-Action Letters Under Section 4 of the Securities Act of 1933
The Securities and Exchange Commission no-action letter is an outstanding creation in the field of administrative procedure by an agency that has been ...
No-Action Letter: Omgeo LLC (August 14, 2009) - SEC.gov
You state the following: Omgeo's TradeSuite service electronically transmits trade confirmations ("TradeSuite confirmations") to Advisers on ...
Analysis of Key SEC No-Action Letters a... - Law Books
... Compliance and Disclosure Interpretations, 2024-2025 ed. (Securities Law Handbook Series) at Legal Solutions from Thomson Reuters. Get free shipping on law
Expiration of SEC Staff's No Action Letters Providing Relief to Broker ...
Expiration of SEC Staff's No Action Letters Providing Relief to Broker-Dealers Regarding MiFID II Research Requirements1 On July 3, 2023, ...
Are SEC “no-action” letters to become a thing of the past?
'No action' describes a company request for a letter from the SEC staff to confirm that excluding a shareholder proposal would not violate ...
Finding SEC No-Action, Exemptive, and Interpretive Letters
Avoid using a DATE segment in your initial search. SEC No-Action letters contain 3 types of dates: Public Availability Date; SEC Reply Date; Inquiry Date.
No-Action, Interpretive, and Exemptive Letters · Self-Regulatory ... Retrieval (EDGAR) system. Company Search. Find registration ...
Accessing EDGAR Data - SEC.gov
No-Action, Interpretive, and Exemptive Letters · Self-Regulatory ... Retrieval) system. Anyone can access and download this information ...
SEC Issues No-Action Letter Regarding Registration of Affiliates of ...
With the February 14 deadline for many unregistered investment advisers to submit applications for registration rapidly approaching, ...
The SEC's expiring no-action letter could result in equal treatment ...
Last year, the Securities and Exchange Commission (SEC) revealed that it was going to allow its no-action letter to the Securities Industry ...
Request to Extend the MiFID II No-Action Letter - SIFMA
SIFMA provided comments to the US Securities and Exchange Commission (SEC) requesting to extend the Markets in Financial Instruments Directive II (MiFID II) No ...
SEC No-Action Letter Request - Scholars@UK
This law review article constitutes an offering memorandum for a work of conceptual art titled “SEC No-Action Letter Request.” The work consists of the concept ...
SEC Issues No-Action Letter Facilitating the Secondary Trading of ...
On Sept. 25, 2020, the SEC issued a No-Action Letter to FINRA, in response to a previously issued Joint Statement by the SEC and FINRA.
SEC Grants Broker-Dealers Permanent Exemptive Relief From Rule ...
In response to these concerns, on December 16, 2021, the staff issued a no-action letter providing a phased-in approach to application of Rule ...