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Tag Archives: NoAction
SEC issues first No-Action Letter for Unregulated ICO
On April 3, 2019, the Securities and Exchange Commission (“SEC”) issued its first no-action letter related to the offering and sale of digital tokens. The beneficiary is TurnKey Jet, Inc. (“TurnKey”) which proposes to offer and sell blockchain-based digital assets … Continue reading
Posted in Banking and Finance law
Tagged First, Issues, Letter, NoAction, Unregulated
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SEC No-Action Letter Addresses Financial Exploitation of Clients
On June 1, 2018, the Securities and Exchange Commission’s Division of Investment Management issued a No-Action Letter to the Investment Company Institute. The ICI asked the Division to assure that it would not recommend enforcement against a mutual fund or … Continue reading
Posted in Banking and Finance law
Tagged Addresses, Clients, exploitation, Financial, Letter, NoAction
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Division of Investment Management of the SEC Issues No-Action Letter to SSB
On May 8, 2018, the Chief Counsel’s Office of the Division of Investment Management (“IM“) of the Securities and Exchange Commission (the “Commission“) issued a “no-action” letter to South State Bank (“SSB“) with respect to its request that the … Continue reading
Posted in Banking and Finance law
Tagged Division, Investment, Issues, Letter, Management, NoAction
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CFTC Extends No-Action Relief Between Certain Inter-affiliate Swaps
The Division of Clearing and Risk (DCR) responded to letter from the International Swaps and Derivatives Association, Inc. (ISDA) from November requesting extensions of CFTC exemption from the swap clearing requirement for inter-affiliate swaps and extension of no-action relief letters by … Continue reading
Posted in Administrative law
Tagged between, Certain, CFTC, extends, Interaffiliate, NoAction, relief, Swaps
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