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SEC’s Division of Investment Management Introduces New Web Intake Form for No-Action and Interpretive Letter Requests

December 15, 2020

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 should include the names of all companies and persons involved, or the name of counsel representing the requestor, the relevant statute subsection, and the reasons why the requestor believes that there is an issue. The Division will not answer hypothetical questions. If confidential treatment is requested, the request for confidential treatment should be included in a separate letter with the request for no-action or interpretive relief.

See IM Information Update: Division of Investment Management Staff Statement Regarding New Web Intake Form for No-Action and Interpretive Letter Requests (Nov. 2020).

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