4 edition of SEC no-action letters index and summaries. found in the catalog.
SEC no-action letters index and summaries.
|Other titles||No-action letters index and summaries, Securities and Exchange no-action letters index and summaries, SEC no action letter weekly.|
|Contributions||Washington Service Bureau., United States. Securities and Exchange Commission.|
|LC Classifications||KF1436.28 .S423|
|The Physical Object|
|Pagination||v. (loose-leaf) ;|
|LC Control Number||2005617520|
Analysis of Key SEC No-Action Letters and Compliance and Disclosure Interpretations examines decisions issued by SEC staff – both no-action and interpretive letters. The author organizes and classifies letters by subject matter and provides in-depth analysis, so . An individual or entity who is not certain whether a particular product, service, or action would constitute a violation of the federal securities laws may request a "no-action" letter from the SEC staff. Most no-action letters describe the request, analyze the particular facts and circumstances involved, discuss applicable laws and rules, and.
The SEC’s recent “no action” letters. Twitter; Facebook; LinkedIn; We have sought to set out the implications of the relief granted by the staff at the SEC as well as a summary of the. On Janu , the Securities and Exchange Commission issued a no-action letter, providing “M&A Brokers” relief from broker-dealer registration requirements in limited circumstances. In other words, the SEC will not recommend enforcement action against unregistered brokers that facilitate a securities transaction, involving the transfer of control of a privately-held .
SEC Publishes Important Guidance on the Custody Rule, Participating Affiliate Arrangements, Robo-Advisers, Form PF staff published in the first quarter of and supplements Sidley’s annual summary of developments for investment advisers published on Febru 1. an SEC staff no-action letter and an update to a response in. The first piece of guidance (the “TKJ No-Action Letter”) was a no-action letter issued by the SEC’s Division of Corporation Finance in response to a request from TurnKey Jet, Inc. (“TKJ.
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Most no-action letters describe the request, analyze the particular facts and circumstances involved, discuss applicable laws and rules, and, if the staff grants the request for no action, concludes that the SEC staff would not recommend that the Commission take enforcement action against the requester based on the facts and representations.
SEC no-action letters index and summaries. Published by CCH Washington Service Bureau in Washington, D.C. Written in English. Staff No Action, Interpretive and Exemptive Letters.
Division of Corporation Finance. Division of Investment Management. Division of Trading and Markets. SEC no-action letters index and summaries (OCoLC) Material Type: Periodical: Document Type: Journal / Magazine / Newspaper: All Authors / Contributors: Washington Service Bureau.
ISSN: OCLC Number: Description: volumes ; 28 cm: Other Titles: SEC no-action letters index and summaries. And lots of lawyers, and outside advisors are publishing guidance of their own, on how best to cope with this sudden raising of the bar when it comes to getting a no-action letter.
But the real problem, in our book, is with the misguided SEC guidance. Sure, there are some cases where there may be “a difficult judgment call” as SEC staff noted. Request letters may be sent to the following email address: [email protected] For assistance in preparing a request for a no-action, interpretive or exemptive letter, please refer to the General Information section below.
You may call or send an email to [email protected] with any questions about preparing a request letter. Posted in Bob's Upticks, No-action letters, Proxy access, Shareholder proposals Something shocking happened at the SEC yesterday.
SEC Chair Mary Jo White directed the SEC Staff to review its long-standing position on when a shareholder proposal conflicts with a company proposal and may be excluded from the proxy statement.
No-action letters, SEC, R, R(a) Nonconsecutive pages, citation of, R(a) Nonconsecutive sections, citation of, R(b) Nonperiodic materials (see Books and pamphlets) North Carolina.
citation rules and style guides, BT.2 sources of law, R, T North Dakota. citation rules and style guides, BT.2 sources of law, T Northern Ireland.
SEC Staff No-Action Letter, Pretzel & Stouffer Pub. Avail. December 1, SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. December 1, RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT MANAGEMENT. Christine E.
Leone Pretzel & Stouffer One South Wacker Drive Suite Chicago, IL Dear Ms. Leone. In your letter dated Jyou request advice that, based on the circumstances stated in your letter, the Division ofTrading and Markets ("Division") will not recommend enforcement action to the Securities and Exchange Commission ("Commission") against: (1) NYSE Euronext, Euronext N.V.
("Euronext"), LIFFE Administration and. SEC No-Action Letters Index and Summaries. Knowledge Base; Search; Search. My Corner. My Profile; My Account; My Favorite Products; My Cases; Product Support. CCH Axcess; CCH ProSystem fx Tax; Publishing and Books; Sales and Use Tax; Research.
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 relating to the issuer's proposed activities as long as the specific facts and circumstances presented by the issuer do not change.
CUSTOMER PROTECTION – RESERVES AND CUSTODY OF SECURITIES no action letter would have to be requested of the SEC on a case by case basis. (SEC Letter to Arnhold & S. Bleichroeder, Inc., J ) (No.May ) SEA Rule 15c(a)(1)/ No-action letters are inquiries sent by individuals or entities requesting that the SEC staff not recommend an enforcement action in the event specified conduct occurs.
No-action letters are useful for research purposes because they are very fact-specific and provide a good indication of how the SEC will view conduct. SEC No-Action Letter Weekly Online, the only weekly newsletter devoted exclusively to SEC no-action letters, offers a comprehensive overview of all letters released, providing a crucial looking glass into staff newsletter provides a current account of all letters released the previous week and contains abstracts of every letter and in-depth feature articles.
SEC v. C.R. Richmond & Co., F.2d (9th Cir. The book in that case discussed the services provided by the investment adviser, its investment methods, and its performance. A broad reading of the term “advertisement” is also reflected in the SEC staff’s no-action positions.
advertising themselves by piecing together the SEC and its staff’s positions as set forth in sometimes conflicting SEC staff no-action letters, speeches by the SEC’s staff, and SEC enforcement actions against investment advisers.
§ Rule (4)-1 Section (4) of the Advisers Act and Rule (4)-1 thereunder govern theFile Size: KB. SEC staff expands upon prior no-action positions to permit funds that track a third-party index to invest in insurance companies and securities related businesses beyond the limitations set forth.
Get this from a library. SEC no-action letter weekly: slip sheets for SEC no-action letters index and summaries. [Washington Service Bureau.;]. The Global Investment Performance Standards (“GIPS®”) are a set of voluntary, ethical standards developed by CFA Institute in partnership with other organizations worldwide.
The creation of the GIPS standards was spurred by a need for prospective investors to be able to make meaningful comparisons of investment performance across multiple managers, for any given strategy.
SEC NO-ACTION LETTERS: INFORMAL ADVICE AS A DISCRETIONARY ADMINISTRATIVE CLEARANCE Wmituj J. LocKHART* The Secuiities and Exchange Commission has long encouraged to provide to the public written advice about the need to comply, or means of complying, with the registration obligations of the Securities Act.
Typically, that advice is.The SEC No-Action Letter Process By Thomas P. Lemke* Since the Securities and Exchange Commission ("SEC" or "Commission") was established init has developed, refined, and encouraged the use of informal processes for assisting members of the public, particularly securities law practitioners, in interpreting the federal securities laws.
In an oft-cited letter from Julythe SEC granted no action to the singer, permitting him to obtain a 10 percent finder’s fee for introducing investors to a hockey team (this wasn’t even an M&A transaction; it was a securities issuance, although Anka’s role was merely introducing parties).