The SEC Division of Investment Management issued a no-action letter providing that it would not recommend enforcement action under the Advisers Act Rule 204(6)-2 (custody rule) or Section 17 of the ICA... Read more »
The SEC’s Division of Trading and Markets issued a no-action letter providing that staff will not recommend enforcement action against a broker-dealer that does not take a net capital charge under Exchange... Read more »
The CFTC’s Market Participants Division (MPD) issued No-Action Letter 25-09, providing relief from the obligation of swap dealers to provide their non-dealer swap counterparties with a pre-trade mid-market mark (PTMMM) for the... Read more »
The CFPB has issued new Policy Statements on No-Action Letters and Compliance Assistance Sandbox Approvals. Source link Read more »
The SEC’s Division of Trading and Markets issued a new no-action letter extending the relief from amended Exchange Act Rule 15c2-11 for fixed income securities indefinitely. Source link Read more »
The CFTC issued No-Action Letter 21-11 granting relief from certain swap reporting and recordkeeping requirements for certain binary options transactions traded on DCM KalshiEX LLC and cleared by DCO LedgerX, LLC. In... Read more »