Securities and Exchange Commission

4,841 documents, newest first — showing 1,801–2,000.

Browse with filters on the regulator page.

• 2012-08-15SEC Division of Corporation Finance no-action letter: United Realty Trust Incorporated
• 2012-08-15SEC Division of Corporation Finance no-action letter: Peoples Financial Services Corp.
• 2012-08-14SEC Division of Corporation Finance no-action letter: Wells Fargo & Company
• 2012-08-13Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
• 2012-08-10SEC Division of Corporation Finance no-action letter: Minn-Dak Farmers Cooperative
• 2012-08-08Order Granting Business Development Corporation of America a Limited Exemption from Rule 102(a) of Regulation M
• 2012-08-01Consolidated Audit Trail
• 2012-08-01SEC Division of Corporation Finance no-action letter: Central Virginia Bankshares, Inc.
• 2012-07-27SEC Division of Corporation Finance no-action letter: Mizuho Financial Group, Inc.
• 2012-07-26SEC Division of Trading and Markets no-action letter: Robert A. Wolfson
• 2012-07-26SEC Division of Trading and Markets no-action letter: Jeffrey A. Wolfson
• 2012-07-26SEC Division of Corporation Finance no-action letter: Mizuho Securities USA Inc.
• 2012-07-26SEC Division of Corporation Finance no-action letter: AB&T Financial Corporation
• 2012-07-25Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations; Correction
• 2012-07-24SEC Division of Corporation Finance no-action letter: Sonic Automotive, Inc.
• 2012-07-23Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security
• 2012-07-23SEC Division of Corporation Finance no-action letter: Botetourt Bankshares, Inc.
• 2012-07-20SEC Division of Corporation Finance no-action letter: Potomac Bancshares, Inc.
• 2012-07-19SEC Division of Corporation Finance no-action letter: First Ottawa Bancshares, Inc.
• 2012-07-19SEC Division of Trading and Markets no-action letter: S3 Matching Technologies LP
• 2012-07-19SEC Division of Corporation Finance no-action letter: China Shenghuo Pharmaceutical Holdings, Inc.
• 2012-07-18Technical Amendment to Rules for the Temporary Registration of Municipal Advisors
• 2012-07-18Securities Act Industry Guides: Technical Amendments to Conform to FASB Accounting Standards Codification
• 2012-07-17SEC Division of Corporation Finance no-action letter: Touchmark Bancshares, Inc.
• 2012-07-17SEC Division of Corporation Finance no-action letter: Skagit State Bancorp, Inc.
• 2012-07-16Extension of Interim Final Temporary Rule on Retail Foreign Exchange Transactions
• 2012-07-12SEC Division of Trading and Markets no-action letter: Ernst & Young Global Ltd.
• 2012-07-10SEC Division of Corporation Finance no-action letter: Dividend Capital Total Realty Trust Inc.
• 2012-07-05Further Definition of Swap Dealer, Security-Based Swap Dealer, Major Swap Participant, Major Security-Based Swap Participant, and Eligible Contract Participant; Correction
• 2012-07-03SEC Division of Corporation Finance no-action letter: GlenRose Instruments Inc.
• 2012-07-03SEC Division of Corporation Finance no-action letter: Harbert Management Corporation, et al.
• 2012-07-03Listing Standards for Compensation Committees Correction
• 2012-07-03SEC Division of Trading and Markets no-action letter: New York Stock Exchange LLC and NYSE Amex LLC
• 2012-06-27Listing Standards for Compensation Committees
• 2012-06-21SEC Division of Corporation Finance no-action letter: First Trust Exchange-Traded Fund IV
• 2012-06-19Order Granting a Limited Exemption from Exchange Act Rule 10b-17 to Certain Actively Managed Exchange-Traded Funds
• 2012-06-18SEC Division of Corporation Finance no-action letter: Nabi Biopharmaceuticals
• 2012-06-14Statement of General Policy on the Sequencing of the Compliance Dates for Final Rules Applicable to Security-Based Swaps
• 2012-06-07Order Granting FS Investment Corporation II a Limited Exemption from Rule 102(a) of Regulation M
• 2012-06-04SEC Division of Trading and Markets no-action letter: Options Clearing Corporation
• 2012-05-25SEC Division of Investment Management staff letter: Allianz of America, Inc.
• 2012-05-25SEC Division of Corporation Finance no-action letter: Patni Computer Systems Limited
• 2012-05-24SEC Division of Investment Management staff letter: GMO Trust
• 2012-05-18SEC Division of Corporation Finance no-action letter: Motors Liquidation Company GUC Trust
• 2012-05-18SEC Division of Corporation Finance no-action letter: Royal Bank of Canada
• 2012-05-15Political Contributions by Certain Investment Advisers
• 2012-05-11SEC Division of Trading and Markets no-action letter: BOX Market LLC
• 2012-05-11SEC Division of Trading and Markets no-action letter: BOX Options Exchange
• 2012-05-11SEC Staff Letter on Accounting for Hedging Relationships When There is a Change in Counterparty
• 2012-05-10SEC Division of Investment Management staff letter: Liberty All-star Growth Fund, Inc.
• 2012-05-10SEC Division of Corporation Finance no-action letter: UBS AG
• 2012-05-09Amendments to Financial Responsibility Rules for Broker-Dealers
• 2012-05-07SEC Trading and Markets FAQ: Crowdfunding Intermediaries
• 2012-05-04SEC Division of Trading and Markets no-action letter: Chicago Board Options Exchange, Inc. and Financial Industry Regulatory Authority, Inc.
• 2012-05-04SEC Division of Corporation Finance no-action letter: H&R Real Estate Investment Trust
• 2012-05-03SEC Division of Corporation Finance no-action letter: H&R Block, Inc.
• 2012-05-02SEC Division of Corporation Finance no-action letter: H&R Block, Inc.
• 2012-05-01SEC Division of Corporation Finance no-action letter: UBS Financial Services Inc. of Puerto Rico
• 2012-04-23SEC Division of Corporation Finance no-action letter: SAIC, Inc.
• 2012-04-20SEC Disclosure Guidance: Topic No. 5: Staff Observations Regarding Disclosures of Smaller Financial Institutions
• 2012-04-18SEC Division of Corporation Finance no-action letter: American Realty Capital Global Daily Net Asset Value Trust, Inc.
• 2012-04-16SEC Division of Trading and Markets no-action letter: WisdomTree Emerging Markets Corporate Bond Fund
• 2012-04-12SEC Division of Corporation Finance no-action letter: Goldman, Sachs & Co.
• 2012-04-10SEC Division of Investment Management staff letter: Aberdeen Australia Equity Fund, Inc., Aberdeen Chile Fund, Inc. and Aberdeen Global Income Fund, Inc.
• 2012-04-06Investment Company Advertising: Target Date Retirement Fund Names and Marketing
• 2012-04-05Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
• 2012-04-03SEC Division of Investment Management staff letter: Peter Adamson III
• 2012-04-03SEC Division of Corporation Finance no-action letter: Alexander & Baldwin, Inc.
• 2012-03-30Adoption of Updated EDGAR Filer Manual
• 2012-03-28SEC Division of Corporation Finance no-action letter: Mango Capital, Inc.
• 2012-03-28Net Worth Standard for Accredited Investors
• 2012-03-23SEC Division of Corporation Finance no-action letter: ERM Worldwide Limited
• 2012-03-21SEC Division of Investment Management staff letter: Guggenheim Enhanced Equity Strategy Fund
• 2012-03-19SEC Division of Investment Management staff letter: Market Vectors ETF Trust, et al.
• 2012-03-19SEC Division of Corporation Finance no-action letter: Ageas SA/NV and Ageas N.V.
• 2012-03-13SEC Division of Corporation Finance no-action letter: ADA-ES, Inc.
• 2012-03-12SEC Division of Investment Management staff letter: Industrial Alliance, Investment Management Inc.
• 2012-03-06Identity Theft Red Flags Rules
• 2012-03-01SEC Division of Trading and Markets no-action letter: PIMCO Total Return Exchange-Traded Fund
• 2012-02-24SEC Division of Corporation Finance no-action letter: Clarion Partners Property Trust Inc.
• 2012-02-23SEC Division of Corporation Finance no-action letter: Koss Corporation et al.
• 2012-02-22Investment Adviser Performance Compensation
• 2012-02-13Securities and Exchange Commission Semiannual Regulatory Flexibility Agenda
• 2012-02-13Nuclear Regulatory Commission Semiannual Regulatory Agenda
• 2012-02-07SEC Division of Corporation Finance no-action letter: Fenwick & West LLP
• 2012-02-03SEC Division of Trading and Markets no-action letter: Charles Schwab & Co., Inc.
• 2012-02-02SEC Division of Investment Management staff letter: American Century Investment Management, Inc.
• 2012-02-01SEC Division of Corporation Finance no-action letter: PNC Bank, N.A.
• 2012-01-25SEC Division of Corporation Finance no-action letter: Coral Beach & Tennis Club
• 2012-01-25SEC Division of Corporation Finance no-action letter: The Options Clearing Corporation
• 2012-01-25Covered Securities of Bats Exchange, Inc.
• 2012-01-24SEC Division of Investment Management staff letter: GE Funding Capital Market Services, Inc.
• 2012-01-24SEC Division of Corporation Finance no-action letter: General Electric Capital Corporation, Inc.
• 2012-01-23SEC Division of Corporation Finance no-action letter: GE Funding Capital Market Services, Inc.
• 2012-01-18American Bar Association, Business Law Section: Registration of Related Persons under the Investment Advisers Act of 1940
• 2012-01-10SEC Division of Trading and Markets no-action letter: FS Energy and Power Fund
• 2012-01-10SEC Division of Investment Management staff letter: Xplornet Communications Inc.
• 2012-01-06SEC Disclosure Guidance: Topic No. 4: European Sovereign Debt Exposures
• 2012-01-03Prohibition Against Conflicts of Interest in Certain Securitizations
• 2012-01-03Extension of Comment Period for Proposed Rules on Proprietary Trading and Hedge Fund Restrictions
• 2012-01-03SEC Division of Corporation Finance no-action letter: Jazz Pharmaceuticals, Inc.
• 2011-12-29Net Worth Standard for Accredited Investors
• 2011-12-27Extension of Temporary Registration of Municipal Advisors
• 2011-12-21List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
• 2011-12-19Investor Bulletin: Real Estate Investment Trusts (REITs)
• 2011-12-16Prohibition Against Conflicts of Interest in Certain Securitizations
• 2011-12-16SEC Division of Trading and Markets no-action letter: AdvisorShares Trust
• 2011-12-16SEC Division of Trading and Markets no-action letter: Claymore Exchange-Traded Fund Trust
• 2011-12-12SEC Division of Investment Management staff letter: Wells Fargo Bank, N.A.
• 2011-12-12SEC Division of Investment Management staff letter: FQF Trust, et al.
• 2011-12-09SEC Division of Investment Management staff letter: Columbia Funds
• 2011-12-09SEC Division of Corporation Finance no-action letter: Wells Fargo & Company
• 2011-12-09SEC Division of Corporation Finance no-action letter: Wachovia Bank, N.A., now known as Wells Fargo Bank, N.A.
• 2011-12-08SEC Division of Corporation Finance no-action letter: XOMA Ltd.
• 2011-12-06SEC Division of Corporation Finance no-action letter: Cole Real Estate Income Strategy (Daily NAV), Inc.
• 2011-12-06SEC Division of Investment Management staff letter: Integrity Life Insurance Co., National Integrity Life Insurance Co., Western-Southern Life Assurance Co., Touchtone Securities, Inc.
• 2011-11-30Bank of America, N.A., Merrill Lynch, Pierce, Fenner & Smith Inc. Request for Rule 144 Interpretive Guidance
• 2011-11-29Adoption of Updated EDGAR Filer Manual
• 2011-11-23SEC Division of Corporation Finance no-action letter: Coach, Inc. and J.P. Morgan Chase Bank N.A.
• 2011-11-21Rescission of Outdated Rules and Forms, and Amendments To Correct References
• 2011-11-21SEC Division of Corporation Finance no-action letter: Simon Property Group, Inc.
• 2011-11-16SEC Division of Corporation Finance no-action letter: Morgan Stanley
• 2011-11-14SEC Division of Corporation Finance no-action letter: DT Sale Corp.
• 2011-11-10SEC Division of Corporation Finance no-action letter: UBS Securities LLC
• 2011-11-07Proposed Rule on Prohibitions and Restrictions on Proprietary Trading and Certain Interests in Hedge Funds and Private Equity Funds
• 2011-11-03SEC Division of Corporation Finance no-action letter: Liberty Media Corporation / Liberty Interactive Corporation
• 2011-11-03SEC Division of Trading and Markets no-action letter: iShares Trust Equity-Index Exchange Traded Fund
• 2011-11-02SEC Division of Corporation Finance no-action letter: Coral Beach & Tennis Club
• 2011-10-26SEC Division of Investment Management staff letter: Department of Labor
• 2011-10-24Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
• 2011-10-20SEC Division of Corporation Finance no-action letter: The Bahamas International Securities Exchange
• 2011-10-19SEC Division of Corporation Finance no-action letter: Global Development Co-operative
• 2011-10-19SEC Division of Corporation Finance no-action letter: Credit Suisse AG
• 2011-10-18SEC Corporation Finance interpretation: Staff Legal Bulletin No. 14F, Oct. 18, 2011
• 2011-10-14SEC Corporation Finance interpretation: Staff Legal Bulletin No. 19 Oct. 14, 2011
• 2011-10-13Roundtable on Issues Relating to Conflict Minerals
• 2011-10-11SEC Division of Corporation Finance no-action letter: GP Strategies Corporation
• 2011-10-07SEC Division of Investment Management staff letter: Morgan Stanley Institutional Fund of Hedge Funds
• 2011-10-07SEC Division of Corporation Finance no-action letter: Textron, Inc.
• 2011-10-05SEC Division of Corporation Finance no-action letter: MGP Ingredients, Inc.
• 2011-10-03SEC Division of Corporation Finance no-action letter: Horizon Lines, Inc.
• 2011-09-30SEC Division of Corporation Finance no-action letter: Teléfonos de México, S.A.B. de C.V.
• 2011-09-28Prohibition Against Conflicts of Interest in Certain Securitizations
• 2011-09-20Facilitating Shareholder Director Nominations
• 2011-09-14SEC Disclosure Guidance: Staff Observations in the Review of Forms 8-K Filed to Report Reverse Mergers and Similar Transactions
• 2011-09-13SEC Division of Corporation Finance no-action letter: Twitter, Inc.
• 2011-09-12Securities and Exchange Commission Request for Information on Retrospective Review of Existing Regulations
• 2011-09-12SEC Division of Investment Management staff letter: Investment Company Institute
• 2011-09-09Amendments To Include New Applicant Types on Form ID
• 2011-09-07Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments
• 2011-09-07Treatment of Asset-Backed Issuers Under the Investment Company Act
• 2011-09-07Use of Derivatives by Investment Companies Under the Investment Company Act of 1940
• 2011-09-01Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
• 2011-08-29SEC Division of Corporation Finance no-action letter: CommunitySun, LLC
• 2011-08-29SEC Division of Trading and Markets no-action letter: WisdomTree Global Real Return Fund
• 2011-08-23Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(D) of the Securities Exchange Act of 1934
• 2011-08-16SEC Division of Trading and Markets no-action letter: WisdomTree Managed Futures Strategy Fund
• 2011-08-16SEC Division of Trading and Markets no-action letter: WisdomTree Asia Local Debt Fund
• 2011-08-12Commission Rules and Forms Related to the FASB's Accounting Standards Codification
• 2011-08-11Covered Securities Pursuant to Section 18 of the Securities Act of 1933
• 2011-08-05Re-Proposal of Shelf Eligibility Conditions for Asset-Backed Securities
• 2011-08-05Adoption of Updated EDGAR Filer Manual
• 2011-08-03Large Trader Reporting
• 2011-08-03Security Ratings
• 2011-08-02SEC Division of Corporation Finance no-action letter: MXenergy Holdings Inc.
• 2011-07-29Money Market Fund Reform
• 2011-07-29SEC Division of Investment Management staff letter: LCH Clearnet Limited
• 2011-07-29SEC Division of Investment Management staff letter: ICE Clear Credit LLC
• 2011-07-28SEC Division of Investment Management staff letter: Chicago Mercantile Exchange
• 2011-07-28SEC Division of Investment Management staff letter: Chicago Mercantile Exchange
• 2011-07-27SEC Division of Corporation Finance no-action letter: Aeroflex Incorporated
• 2011-07-22Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief Under Section 36 of the Exchange Act
• 2011-07-21SEC Division of Corporation Finance no-action letter: American Realty Capital Daily Net Asset Value Trust, Inc.
• 2011-07-21SEC Division of Investment Management staff letter: Seward & Kissel LLP
• 2011-07-21Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
• 2011-07-18Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
• 2011-07-15Retail Foreign Exchange Transactions
• 2011-07-15SEC Division of Corporation Finance no-action letter: Cleary Gottlieb Steen & Hamilton LLP
• 2011-07-13Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies
• 2011-07-12SEC Division of Corporation Finance no-action letter: Alaska Permanent Fund
• 2011-07-11Exemptions for Security-Based Swaps
• 2011-07-11SEC Division of Corporation Finance no-action letter: Janney Montgomery Scott LLC
• 2011-07-11SEC Division of Investment Management staff letter: J.P. Morgan Securities LLC
• 2011-07-11SEC Division of Corporation Finance no-action letter: JPMorgan Chase & Co.
• 2011-07-08Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
• 2011-07-08SEC Division of Corporation Finance no-action letter: JP Morgan Securities LLC
• 2011-07-07Order Granting Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With the Pending Revision of the Definition of “Security” To Encompass Security-Based Swaps, and Request for Comment
• 2011-07-07Order Granting Temporary Exemptions From Clearing Agency Registration Requirements for Entities Providing Certain Clearing Services for Security-Based Swaps
• 2011-07-01SEC Division of Corporation Finance no-action letter: Raymond James Financial, Inc.
• 2011-06-30SEC Division of Investment Management staff letter: Zenkyoren Asset Management of America Inc.
• 2011-06-30Risk Management Controls for Brokers or Dealers With Market Access
• 2011-06-29SEC Division of Corporation Finance no-action letter: JP Morgan Securities LLC
• 2011-06-29Family Offices
• 2011-06-29SEC Division of Investment Management staff letter: J.P. Morgan Securities LLC
• 2011-06-29SEC Division of Corporation Finance no-action letter: JPMorgan Chase & Co.
• 2011-06-22Temporary Exemptions and Other Temporary Relief for Security-Based Swaps Under the Securities Exchange Act of 1934
• 2011-06-22SEC Division of Corporation Finance no-action letter: Regions Financial Corporation
• 2011-06-22SEC no-action letter: Morgan Asset Management, Inc. and Morgan Keegan & Co., Inc. waiver of Regulation A and Rule 505 disqualifications
• 2011-06-20SEC Division of Investment Management staff letter: Main Street Capital Corporation
• 2011-06-20SEC Division of Corporation Finance no-action letter: NBCUniversal