An SEC letter indicating that no civil or criminal action will be taken against an individual engaging in a particular activity; sent in response to a written request for clarification when the legality of the activity in question is not well-established.
Related information about No-Action Letter:
- No-Action Letters
Sep 21, 2012... product, service, or action would constitute a violation of the federal securities law may request a "no-action" letter from the SEC staff.
- No-action letter - Wikipedia, the free encyclopedia
A no-action letter is a letter written by the staff members of a government agency, requested by an entity subject to regulation by that agency, indicating that the ...
- No-Action Letters - CFTC
The staff of the Division of Market Oversight issued a no-action letter providing that ... The no action letter is effective until the earlier of December 31, 2012, or the ...
- CFTC Staff Issues No-Action Letter Addressing Timeline for Swap ...
Nov 20, 2012 ... The no-action letter establishes a common monthly date by which all newly registered swap dealers must be in compliance with their reporting ...
- What is No-Action Letter? definition and meaning
Definition of No-Action Letter: An SEC letter indicating that no civil or criminal action will be taken against an individual engaging in a particular activity; sent in ...
- No-Action Letter - Financial Dictionary - The Free Dictionary
A letter from the Securities and Exchange Commission agreeing that the commission will take no civil or criminal action against a party, regarding a specific ...
- The CFTC's No-Action Letter Relating to Eligible Contract - JD Supra
Oct 18, 2012 ... In a no-action letter issued on October 12, 2012 (the “No-Action Letter”), the Office of the General...
- 13 NYCRR Section 18.9. Issuance of No-Action Letter (a ...
may, in its discretion, issue a “no-action letter” stating that it will not take any ... (1) A no-action letter may be issued where the Department of Law determines that: ...