The SEC’s Division of Investment Management announced in an Information Update a new web intake form for no-action and interpretive letter requests and related procedures. Requests submitted through the form...
The SEC’s Division of Investment Management has issued a no-action letter related to participation in the Federal Reserve Board’s 2020 Term Asset-Backed Securities Loan Facility, or TALF 2020. The staff...
The SEC’s Division of Investment Management staff has issued a statement regarding the relationship between a section of the Investment Company Act that requires fund shares to have equal voting...
The SEC’s Division of Investment Management has issued two Information Updates regarding no-action letters and other staff statements that have been modified or withdrawn. The first update regards withdrawn staff...
The SEC’s Division of Trading and Markets has granted no-action relief to a New York trust company to act as a clearing agency in connection with its operation of a...
On November 4, 2019, staff in the SEC’s Division of Investment Management extended for three years the no-action letter issued to SIFMA that permits broker-dealers to receive payments in hard dollars,...
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