Securities and Exchange Commission

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2019-03-06Amendments to the Timing Requirements for Filing Reports on Form N-Port
2019-03-06SEC Division of Investment Management staff letter: John Hancock Stable Value Fund
2019-03-01SEC Division of Corporation Finance no-action letter: Indian Energy Exchange Limited
2019-02-28SEC Division of Investment Management staff letter: Independent Directors Council
2019-02-28Solicitations of Interest Prior to a Registered Public Offering
2019-02-27SEC Division of Trading and Markets no-action letter: Options Clearing Corporation
2019-02-26SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
2019-02-21Reopening of Comment Period for Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
2019-02-20Transaction Fee Pilot for NMS Stocks
2019-02-20SEC Division of Investment Management staff letter: RMR Real Estate Income Fund - Omission of Shareholder Proposal Submitted by Matisse Discounted Closed-End Fund Strategy
2019-02-19Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
2019-02-15Risk Mitigation Techniques for Uncleared Security-Based Swaps
2019-02-08Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds
2019-02-06Disclosure of Hedging by Employees, Officers and Directors
2019-02-05SEC Division of Corporation Finance no-action letter: Mastercard UK Holdco Limited
2019-02-01Fund of Funds Arrangements
2019-01-31SEC Division of Corporation Finance no-action letter: ARK ETF Trust
2019-01-31Conditional Small Issues Exemption Under the Securities Act of 1933 (Regulation A)
2019-01-31SEC Division of Corporation Finance no-action letter: iShares Trust
2019-01-30SEC Division of Investment Management staff letter: PIMCO Income Strategy Fund and PIMCO Income Strategy Fund II
2019-01-09SEC Division of Investment Management staff letter: Tekla Life Sciences Investors - Omission of Shareholder Proposal Submitted by Kenneth Steiner
2019-01-03First Trust High Income Long/Short Fund: Response to Dolphin Limited Partnership Regarding Omission of Shareholder Proposals
2018-12-26Modernization of Property Disclosures for Mining Registrants
2018-12-26Adoption of Updated EDGAR Filer Manual
2018-12-21Request for Comment on Earnings Releases and Quarterly Reports
2018-12-17SEC Division of Investment Management staff letter: Madison Capital Funding LLC
2018-12-17SEC Division of Corporation Finance no-action letter: The Bank of New York Mellon Corporation
2018-12-13Covered Investment Fund Research Reports
2018-12-13SEC Division of Corporation Finance no-action letter: Central States Capital Markets, LLC
2018-12-12SEC Division of Corporation Finance no-action letter: Waterside Enterprises, LLC
2018-12-12SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
2018-12-04Form N-1A; Correction
2018-12-03SEC Division of Trading and Markets no-action letter: iShares Preferred Equity Index-Linked ETFs
2018-11-30Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
2018-11-30SEC Division of Corporation Finance no-action letter: Just Dial Limited
2018-11-27List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2018-11-20SEC Division of Trading and Markets no-action letter: Causeway ETMF Trust
2018-11-20SEC Division of Trading and Markets no-action letter: Brandes Investment Trust
2018-11-19Disclosure of Order Handling Information
2018-11-16Securities and Exchange Commission Regulatory Flexibility Agenda
2018-11-16Adoption of Updated EDGAR Filer Manual; Correction
2018-11-13Regulation of NMS Stock Alternative Trading Systems
2018-11-13SEC Division of Corporation Finance no-action letter: Deutsche Access Investments Limited
2018-11-08SEC Division of Corporation Finance no-action letter: FSP 303 East Wacker Drive Corp. Liquidating Trust
2018-11-06Commission Statement on Certain Provisions of Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
2018-11-05SEC Division of Corporation Finance no-action letter: Mphasis Limited
2018-11-05SEC Division of Investment Management staff letter: Industrial Alliance, Investment Management Inc.
2018-11-05Adoption of Updated EDGAR Filer Manual
2018-10-30SEC Division of Corporation Finance no-action letter: Brazilian Foreign Private Issuers
2018-10-29SEC Division of Trading and Markets no-action letter: Financial Industry Regulatory Authority
2018-10-29SEC Division of Investment Management staff letter: Eaton Vance Tax-Managed Buy-Write Opportunities Fund, et al.
2018-10-24SEC Division of Corporation Finance no-action letter: Teva Pharmaceutical Industries Limited
2018-10-23SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association, Re: Treatment of Operating Leases under Rule 5c3-l
2018-10-23SEC Staff Legal Bulletin 14J: Guidance on Rule 14a-8 Board Analysis and Exclusion Criteria
2018-10-22SEC Division of Corporation Finance no-action letter: Noridian Mutual Insurance Company d/b/a Blue Cross Blue Shield of North Dakota
2018-10-19Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Michael
2018-10-19Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
2018-10-17SEC Division of Corporation Finance no-action letter: Redington (India) Limited
2018-10-16SEC Division of Corporation Finance no-action letter: Neuralink Corp.
2018-10-16SEC Division of Corporation Finance no-action letter: Space Exploration Technologies Corp.
2018-10-16SEC Division of Corporation Finance no-action letter: The Boring Company
2018-10-16SEC Division of Corporation Finance no-action letter: Tesla Inc.
2018-10-12SEC Division of Investment Management staff letter: Independent Directors Council
2018-10-09SEC Division of Corporation Finance no-action letter: Tesoro Viejo Master Mutual Water Company
2018-10-05Amendments to Rules for Nationally Recognized Statistical Rating Organizations
2018-10-04SEC Division of Investment Management staff letter: DNP Select Income Fund Inc.
2018-10-04Disclosure Update and Simplification
2018-10-02SEC Division of Trading and Markets no-action letter: SS&C Technologies, Inc.
2018-10-02Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
2018-09-28SEC Division of Investment Management staff letter: Great West Life & Annuity Insurance Company
2018-09-28SEC Division of Investment Management staff letter: Allianz Life Insurance Company of North America
2018-09-28SEC Division of Investment Management staff letter: Midland National Life Insurance Company
2018-09-28SEC Division of Investment Management staff letter: Athene Annuity and Life Company
2018-09-28SEC Division of Corporation Finance no-action letter: Walgreens Boots Alliance, Inc.
2018-09-28SEC Division of Corporation Finance no-action letter: LendingClub Corporation
2018-09-27Amendment to Single Issuer Exemption for Broker-Dealers
2018-09-21Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Florence
2018-09-21SEC Division of Corporation Finance no-action letter: Global Payments, Inc.
2018-09-20SEC Division of Trading and Markets no-action letter: Invesco Capital Management LLC
2018-09-18Korea Exchange Notification of Intent to Rely on Class No-Action Relief for Foreign Options Markets
2018-09-13SEC Division of Investment Management staff letter: PIMCO Corporate & Income Opportunity Fund and PIMCO Income Opportunity Fund
2018-09-11Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
2018-09-10SEC Division of Trading and Markets no-action letter: Exemption Under Rule 608(e) of Regulation NMS under the Securities Exchange Act of 1934 from Certain Provisions of the Plan to Implement a Tick Size Pilot Program to: Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGA Exchange, Inc., a…
2018-09-07SEC Division of Investment Management staff letter: Golub Capital BDC, Inc., et al.
2018-09-05SEC Division of Trading and Markets no-action letter: Financial Information Forum
2018-09-04SEC Division of Corporation Finance no-action letter: HCL Technologies Limited
2018-08-31Amendments to Municipal Securities Disclosure
2018-08-31Delegation of Authority to General Counsel of the Commission
2018-08-28SEC Division of Corporation Finance no-action letter: Thomson Reuters Corporation
2018-08-27SEC Division of Corporation Finance no-action letter: Aegon, N.V.
2018-08-16SEC Final Rule on Inline XBRL Filing of Tagged Data
2018-08-16SEC Division of Corporation Finance no-action letter: PG&E Corporation
2018-08-15SEC Division of Corporation Finance no-action letter: Ameriprise Financial, Inc.
2018-08-08SEC Division of Trading and Markets no-action letter: ETF Managers Capital LLC
2018-08-07Regulation of NMS Stock Alternative Trading Systems
2018-08-07SEC Division of Investment Management Staff Letter: Charles Schwab & Co., Inc.
2018-07-31Securities and Exchange Commission Proposed Rule on Exchange-Traded Funds
2018-07-24Exempt Offerings Pursuant to Compensatory Arrangements
2018-07-24Concept Release on Compensatory Securities Offerings and Sales
2018-07-20SEC Proposed Whistleblower Program Rules
2018-07-20SEC Division of Investment Management staff letter: Asia Pacific Fund-Omission of Shareholder Proposal Submitted by Matisse Capital Management, L.P.
2018-07-17Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
2018-07-17Adoption of Updated EDGAR Filer Manual
2018-07-16SEC Division of Corporation Finance no-action letter: KBS Legacy Partners Apartment REIT, Inc.
2018-07-10Smaller Reporting Company Definition
2018-07-10SEC Division of Corporation Finance no-action letter: Oaktree Capital Group, LLC
2018-07-10Investment Company Liquidity Disclosure
2018-07-09SEC Division of Corporation Finance no-action letter: Charles Schwab & Co., Inc.
2018-07-09SEC Division of Corporation Finance no-action letter: Yahoo Japan Corporation
2018-06-29SEC Division of Corporation Finance no-action letter: Alexander Capital, L.P.
2018-06-29SEC Division of Corporation Finance no-action letter: Morgan Stanley
2018-06-29SEC Division of Corporation Finance no-action letter: Morgan Stanley Smith Barney LLC
2018-06-28Amendments to the Commission’s Freedom of Information Act Regulations
2018-06-22Optional Internet Availability of Investment Company Shareholder Reports
2018-06-11Securities and Exchange Commission Regulatory Flexibility Agenda
2018-06-11Request for Comment on Fund Retail Investor Experience and Disclosure
2018-06-08Covered Investment Fund Research Reports
2018-06-06SEC Division of Corporation Finance no-action letter: SELLAS Life Sciences Group, Inc.
2018-06-06SEC Division of Corporation Finance no-action letter: SELLAS Life Sciences Group, Inc.
2018-06-04SEC Division of Trading and Markets no-action letter: Royal Bank of Scotland Group plc
2018-06-01Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests
2018-05-31SEC Division of Corporation Finance no-action letter: Noble Capital Markets, Inc.
2018-05-30SEC Division of Investment Management staff letter: Investment Company Institute
2018-05-29SEC Division of Trading and Markets no-action letter: iShares U.S. ETF Trust
2018-05-23Correction to Form CRS Relationship Summary and Amendments to Form ADV Proposed Rule
2018-05-15SEC Division of Corporation Finance no-action letter: BSE Limited
2018-05-14Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information
2018-05-09Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles
2018-05-09Regulation Best Interest
2018-05-09Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
2018-05-08SEC Division of Investment Management staff letter: South State Bank
2018-05-08Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
2018-05-02SEC Division of Corporation Finance no-action letter: Brandes Investment Trust
2018-04-19SEC Division of Corporation Finance no-action letter: TiGenix NV
2018-04-17SEC Division of Corporation Finance no-action letter: Causeway ETMF Trust
2018-04-12SEC Division of Trading and Markets no-action letter: Financial Industry Regulatory Authority
2018-04-11SEC Division of Trading and Markets no-action letter: Catalyst Corporate Federal Credit Union
2018-04-10SEC Division of Investment Management staff letter: Delaware Enhanced Global Dividend and Income Fund-Omission of Shareholder Proposal Submitted by Saba Capital Management L.P.
2018-04-06SEC Division of Corporation Finance no-action letter: The PNC Financial Services Group, Inc.
2018-04-03SEC Division of Corporation Finance no-action letter: Bank of the West
2018-03-29SEC Exemption Under Rule 608(e) of Regulation NMS from Tick Size Pilot Program Assessment Deadline
2018-03-29SEC Division of Corporation Finance no-action letter: Casella Waste Systems, Inc.
2018-03-28SEC Division of Corporation Finance no-action letter: Aegis Capital Corporation
2018-03-27SEC Division of Investment Management staff letter: Dividend and Income Fund— Omission of Shareholder Proposal Submitted by Matisse Capital
2018-03-27SEC Division of Corporation Finance no-action letter: Ablynx NV
2018-03-26SEC Division of Corporation Finance no-action letter: PowerShares Exchange-Traded Fund Trust
2018-03-26Transaction Fee Pilot for NMS Stocks
2018-03-23SEC Investment Management FAQ: Family Office Rule
2018-03-23SEC Division of Trading and Markets no-action letter: Spotify Technology, S.A.
2018-03-21SEC Division of Corporation Finance no-action letter: Behringer Harvard Opportunity REIT I, Inc.
2018-03-19Investment Company Liquidity Disclosure
2018-03-16Adoption of Updated EDGAR Filer Manual
2018-03-12SEC Division of Corporation Finance no-action letter: Comcast Corporation tender offer for Sky plc
2018-03-08SEC Division of Trading and Markets no-action letter: National Financial Services LLC, Re: Cash in a Customer Reserve Account under Rule 15c3-3(e)(5)
2018-03-08SEC Division of Investment Management staff letter: Tekla Life Sciences Investors — Omission of Shareholder Proposal Submitted by Kenneth Steiner
2018-03-08SEC Division of Corporation Finance no-action letter: Voya Financial, Inc.
2018-03-06SEC Division of Trading and Markets no-action letter: Invesco PowerShares Capital Management LLC, Re: Net Capital Treatment of PowerShares Treasury Collateral Portfolio
2018-03-02SEC Division of Corporation Finance no-action letter: Intercontinental Exchange, Inc.
2018-02-28SEC Division of Corporation Finance no-action letter: Ameriprise Financial, Inc.
2018-02-27Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs
2018-02-26Commission Statement and Guidance on Public Company Cybersecurity Disclosures
2018-02-22SEC no-action letter: Merrill Lynch, Pierce, Fenner & Smith Incorporated waiver request regarding Rule 506 disqualification
2018-02-14SEC Division of Investment Management staff letter: Eagle Point Credit Company Inc.
2018-02-14SEC Division of Corporation Finance no-action letter: KBS Real Estate Investment Trust, Inc.
2018-02-12SEC Division of Investment Management staff letter: Great Ajax Funding LLC
2018-02-12SEC Division of Corporation Finance no-action letter: Berkshire Hathaway Energy Company
2018-02-12SEC Division of Corporation Finance no-action letter: E. I. du Pont de Nemours and Company
2018-02-09SEC Division of Corporation Finance no-action letter: Investors Exchange LLC
2018-02-07SEC Division of Corporation Finance no-action letter: Constellium N.V.
2018-02-06SEC Division of Corporation Finance no-action letter: WisdomTree U.S. Quality Shareholder Yield Fund
2018-02-05SEC Division of Corporation Finance no-action letter: Wedbush Securities Inc.
2018-01-30Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers
2018-01-25SEC Division of Investment Management staff letter: First Trust Mortgage Income Fund
2018-01-19SEC Division of Corporation Finance no-action letter: Republic of Indonesia
2018-01-18SEC Staff Letter on Engaging on Fund Innovation and Cryptocurrency-related Holdings
2018-01-17Adoption of Updated EDGAR Filer Manual
2018-01-16Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
2018-01-12Securities and Exchange Commission Regulatory Flexibility Agenda
2018-01-11Staff Accounting Bulletin No. 117
2018-01-11SEC Division of Corporation Finance no-action letter: Calvert Management Series
2018-01-11Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies
2018-01-04SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association, Re: Treatment of Revenue from Contracts with Customers under Rule 15c3-1
2018-01-03Freedom of Information Act Regulations
2017-12-22SEC Staff Accounting Bulletin: SAB 118
2017-12-21SEC Division of Trading and Markets no-action letter: Calvert Management Series
2017-12-21SEC Division of Trading and Markets no-action letter: Hartford Funds NextShares Trust
2017-12-19SEC Division of Investment Management staff letter: LCH Limited and LCH.Clearnet LLC
2017-12-19SEC Division of Investment Management staff letter: ICE Clear Credit LLC
2017-12-19SEC Division of Investment Management staff letter: Chicago Mercantile Exchange
2017-12-19SEC Division of Corporation Finance no-action letter: ARK ETF Trust
2017-12-14Investment Company Reporting Modernization
2017-12-14Compliance Date for Form 10-D Hyperlink Requirements
2017-12-13SEC Division of Corporation Finance no-action letter: Waterside Enterprises, LLC
2017-12-12SEC Division of Investment Management staff letter: PIMCO Dynamic Income Fund
2017-12-08SEC Division of Corporation Finance no-action letter: Ameriprise Financial, Inc.
2017-12-07SEC Division of Corporation Finance no-action letter: John Hancock Exchange-Traded Fund Trust
2017-12-07SEC Division of Corporation Finance no-action letter: Hartford Funds NextShares Trust
2017-12-05SEC Division of Corporation Finance no-action letter: Republic of the Philippines
2017-12-01Order Granting an Extension to Limited Exemption from Rule 612(c) of Regulation NMS in Connection with the Exchange's Retail Price Improvement Program Until June 30, 2018
2017-11-29SEC Staff Accounting Bulletin: SAB 117