No-Action Letter Archives

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

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...

December 15, 2020

Tags: No-Action Letter, SEC Investment Management

SEC Extends MiFID II Research Unbundling No-Action Relief from 2020 to 2023

SEC Extends MiFID II Research Unbundling No-Action Relief from 2020 to 2023 November 25, 2019 On November 4, 2019, staff in the SEC’s Division of Investment Management extended for...

November 25, 2019

Tags: No-Action Letter, MiFID II

SEC Grants No-Action Relief for NY Trust Company to Use Blockchain to Settle Equity Trades

SEC Grants No-Action Relief for NY Trust Company to Use Blockchain to Settle Equity Trades November 25, 2019 The SEC’s Division of Trading and Markets has granted no-action relief...

November 25, 2019

Tags: No-Action Letter, New York

SEC’s Division of Investment Management Adds List of Modified or Withdrawn Staff Statements to Website

SEC’s Division of Investment Management Adds List of Modified or Withdrawn Staff Statements to Website March 23, 2020 The SEC’s Division of Investment Management has issued two Information Updates...

March 23, 2020

Tags: No-Action Letter, SEC Investment Management, Variable Insurance Products

SEC Withdraws No-Action Letter on State Control Share Acquisition Statutes, Requests Feedback on Further Action

SEC Withdraws No-Action Letter on State Control Share Acquisition Statutes, Requests Feedback on Further Action June 3, 2020 The SEC’s Division of Investment Management staff has issued a statement...

June 03, 2020

Tags: No-Action Letter, SEC Investment Management

SEC Provides No-Action Relief Related to Participation in Fed Lending Facility

SEC Provides No-Action Relief Related to Participation in Fed Lending Facility June 3, 2020 The SEC’s Division of Investment Management has issued a no-action letter related to participation in...

June 03, 2020

Tags: No-Action Letter, Federal Reserve Board, Investment Company Act, SEC Investment Management

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