Sec no action letter 31. ledna 2021

The U.S. Securities and Exchange Commission (SEC) has issued a “no-action” letter to TurnKey Jet, Inc., agreeing that tokens used by the business-travel startup are not securities.

5, 2017). A ground-breaking SEC no-action letter dated January 31, 2014, eliminates this concern for transactions that satisfy certain conditions outlined by the SEC. Background The Securities Exchange Act of 1934 (Exchange Act) defines “broker” as a person engaged in the business of effecting transactions in securities on behalf of others and Oct 13, 2020 Mar 17, 2020 Dec 14, 2018 Nov 21, 2020 More specifically, under the conditions of a letter dated December 12, 2016 (the “2016 No-Action Letter”), Division staff has granted no-action relief to broker-dealers that rely on SEC-registered investment advisers (“RIAs”) to perform some or all of the requirements of the … On January 31, the staff of the Securities and Exchange Commission (SEC) issued a no-action letter that permits an M&A broker (as defined below) to effect securities transactions in connection with the transfer of ownership of a privately held company without the M&A broker registering as a broker-dealer under section 15(b) of the Securities Exchange Act of 1934 (Exchange Act). The U.S. Securities and Exchange Commission (SEC) has issued a “no-action” letter to TurnKey Jet, Inc., agreeing that tokens used by the business-travel startup are not securities. Record keeping Rule 1.31: February 21, 2017: SEC: SEC no-action letter to the IAA re Standing Letters of Authorization (SLOAs) January 24, 2017: CFTC, Federal Reserve Board, OCC, UK FCA, European Commission, and other regulators: Uncleared swap margin requirements – request for transitional relief from variation margin implementation Nov 24, 2020 SEC Issues No-Action Letter Regarding Broker-Dealer Registration Status of M&A Brokers.

11.06.2021 Sec no action letter 31. ledna 2021

See SEC No-Action letter of January 25, 1994 to SIA Prime Broker Committee. 6. See Id. Dec 16, 2019 · A: On Dec. 12, 2016, the SEC issued a no-action latter in response to a request from SIFMA addressing when and how a broker-dealer can rely on an investment advisor to perform some or all of its 01/04/2021. 21-02 Letter Type: No-Action Division: MPD Regulation Parts: 1.25 Tags: FCM, Customer Funds Description: Time-Limited No-Action relief to FCMs from Regulation 1.25 for Investments in Securities with an Adjustable Rate of Interest Benchmarked to the Secured Overnight Financing Rate. 2020. 12/04/2020. 20-42 Letter Type: No-Action Members are reminded that the relief provided by the no-action letter is available only for fails involving registered municipal securities and is effective only through December 31, 1983.

May 31, 2018

MPD also recently issued no-action letter 21-04 extending certain no-action relief for IBs with respect to regulatory obligations for recordkeeping of On January 31, 2014, the Securities and Exchange Commission’s Division of Trading and Markets (“SEC staff”) issued a no-action letter providing conditional relief to certain “M&A Brokers” from the broker-dealer registration requirements of Section 15(b) of the Securities Exchange Act of 1934 (“Exchange Act”). 4 See Great-West Life & Annuity Insurance Co., SEC Staff No-Action Letter (pub. avail. Oct. 23, 1990).

On Jan. 13, 2021, the Division of Investment Management staff (Staff) of the Securities and Exchange Commission (Commission) issued a no-action letter advising that it would not recommend enforcement action to the Commission under Section 17(f) of the Investment Company Act of 1940 (1940 Act).

IA Rules & Regulatory Actions April 10 2020.

This post comes to us from O’Melveny & Myers LLP. It is based on the firm’s memorandum, “The SEC’s Most Recent No-Action Letter on Digital Assets—Is the SEC Moving Beyond a Closed Box for Digital Asset Issuers?,” dated November 24, 2020, and available here Oct 13, 2020 · On September 25, 2020, the SEC’s Division of Trading and Markets (Division) issued a no-action letter that allows for another settlement method with respect to digital asset security transactions effected through an alternative trading system (ATS).

Selected letters issued before January 15, 2002 may appear in This page contains pending Rule 14a-8 no-action requests received by the Division of Corporation Finance. Pursuant to the Federal Information Security Management Act of 2002 and OMB Memorandum M-07-16, we have removed, to the maximum extent practicable, personally identifiable information from the materials. The staff of the Division of Investment Management (the “staff”) issues staff no-action letters and other staff statements (“Staff Statements”). Both this list and the referenced Staff Statements represent the views of staff of the Division of Investment Management and are not a rule, regulation, or statement of the Securities and On December 23, 2020, the Securities and Exchange Commission issued a no-action letter regarding family offices and Regulation Best Interest. requisite securities entitled to be voted on the Proposal within 14 days of receiving the Company’s Notice of Deficiency.

-1.31%. Cosmos 24h $ 13.65 +16.33%. Cosmos 24h $ 13.65 +1.92 The SEC published a “no-action letter” on Thursday (dated Nov. 17) to IMVU, Sep 26, 2020 SEC NO-ACTION LETTERS. SEC announces 2021 withdrawal of ‘no-action’ letters. IA Rules & Regulatory Actions April 10 2020. Sweep programs for B-Ds granted in new ‘no-action’ letter.

FINRA Rule 2040, Payments to Unregistered Jan 04, 2021 · CFTC No-Action Letter 21-02: CFTC Regulation 1.25 - Investment of Customer Funds: Time-Limited No-Action Position for Investments in Securities with an Adjustable Rate of Interest Benchmarked to the Secured Overnight Financing Rate Securities Exchange Act of 1934—Rule 14a-8 . Ladies and Gentlemen: This letter is to inform you that our client, Chevron Corporation (the “Company”), intends to omit from its proxy statement and form of proxy for its 2021 Annual Meeting of Stockholders (collectively, the “2021 Proxy Materials”) a stockholder proposal, Jan 20, 2021 · 30 The Adopting Release makes no reference to the SEC staff’s 2008 Mayer Brown no-action letter, which expressly provides that the solicitation rule does not apply to an adviser’s engagement of placements agents or other persons that solicit investors in funds managed by the adviser. See Mayer Brown LLP, SEC Staff No-Action Letter (July 15 Aug 31, 2018 · Notably, there exist a significant number of SEC no-action letters, beginning with the famous Paul Anka no-action letter of 1991,[13] and more recently the M&A broker no-action letter of 2014,[14] that have carved out situations where transaction-based compensation can, in fact, be earned by a finder or intermediary without registration as a Nathan DiCamillo Feb 7, 2021. -1.31%. Cosmos 24h $ 13.65 +16.33%. Cosmos 24h $ 13.65 +1.92 The SEC published a “no-action letter” on Thursday (dated Nov. 17) to IMVU, SEC announces 2021 withdrawal of ‘no-action’ letters IA Rules & Regulatory Actions April 10 2020 Sweep programs for B-Ds granted in new ‘no-action’ letter Sep 26, 2020 · A September 25 letter from the Securities and Exchange Commission (SEC) has cleared the way for additional means of using alternative trading systems to facilitate the trade of digital asset securities.The post SEC issues no-action letter in response to digital asset securities questions appeared first on The Block.

Letters issued before that date may be obtained by submitting a request for a paper copy . Important Note: This page contains Division of Investment Management no-action letters dated on or after January 1, 1993. Division of Investment Management no-action letters issued before that date may be obtained for a copy and processing fee. Please refer to information on How to Request Public Documents. On Jan. 13, 2021, the Division of Investment Management staff (Staff) of the Securities and Exchange Commission (Commission) issued a no-action letter advising that it would not recommend enforcement action to the Commission under Section 17(f) of the Investment Company Act of 1940 (1940 Act), and paragraphs (b)-(f) of Rule 17f-2 thereunder, if certain registered management investment companies or series thereof (Funds), or their directors or officers, if the Funds, acting as self-custodians Important Note: This page contains Division of Corporation Finance no-action, interpretive and exemptive letters dated after January 15, 2002.

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The U.S. Securities & Exchange Commission (“SEC”) filed a complaint against Ripple Labs, Inc. (“Ripple”) and two of its executives, Brad Garlinghouse and Chris Larsen, on December 22, 2020 in the U.S. District Court for the Southern District of New York , alleging that sales of $1.3 billion of XRP by Ripple and the executives during a period ranging from 2013 through 2020 constitute an

avail. Oct. 23, 1990). Oct. 23, 1990). In Great-West, the SEC staff stated it would not recommend enforcement action if post-effective amendments were not filed under the Securities Act of 1933, as amended, and the 1940 Act and if updated prospectuses were not By Daniel DeWolf and Samuel Effron . The SEC has finally provided clarity as to how an issuer of securities can conduct a private placement in a password protected web page under Rule 506(b), without it being deemed a “general solicitation” and thereby being subject to the additional requirements imposed by the new Rule 506(c).