Securities and Exchange Commission

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2017-11-21SEC Division of Investment Management staff letter: Nuveen California Select Tax-Free Income Portfolio
2017-11-17SEC Division of Corporation Finance no-action letter: Cyren Limited
2017-11-15SEC Division of Corporation Finance no-action letter: Eaton Vance NextShares Trust II
2017-11-03SEC Division of Trading and Markets no-action letter: Banco Bilbao Vizcaya Argentaria, S.A.
2017-11-02FAST Act Modernization and Simplification of Regulation S-K
2017-11-01SEC Staff Legal Bulletin: SLB 14I
2017-10-30Covered Securities Pursuant to Section 18 of the Securities Act of 1933
2017-10-26SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association, Asset Management Group
2017-10-20SEC Division of Investment Management staff letter: Investment Company Institute
2017-10-17SEC Division of Investment Management staff letter: Securities Industry and Financial Markets Association
2017-10-16SEC Division of Investment Management staff letter: Redwood Trust, Inc.
2017-10-11SEC Investment Management FAQ: Custody Rule
2017-10-06SEC Division of Investment Management staff letter: Innovator Capital Management, LLC, et al.
2017-10-02Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Harvey, Hurricane Irma, and Hurricane Maria
2017-09-29Adoption of Updated EDGAR Filer Manual
2017-09-28SEC Division of Trading and Markets no-action letter: Financial Industry Regulatory Authority (Definition of "Fully Paid Securities" under Rule 15c3-3)
2017-09-27Commission Guidance on Pay Ratio Disclosure
2017-09-26SEC Division of Corporation Finance no-action letter: CBS Corporation
2017-09-22SEC Division of Investment Management staff letter: Fidelity Management & Research Company et al.
2017-09-20SEC Division of Corporation Finance no-action letter: Griffin Capital Essential Asset REIT II, Inc.
2017-09-14SEC Division of Corporation Finance no-action letter: SunTrust Banks, Inc.
2017-09-01SEC Division of Corporation Finance no-action letter: Black Creek Diversified Property Fund Inc.
2017-08-29Staff Accounting Bulletin No. 116
2017-08-29Updates to Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile
2017-08-29Commission Guidance Regarding Revenue Recognition for Bill-and-Hold Arrangements
2017-08-24Securities and Exchange Commission Semiannual Regulatory Flexibility Agenda
2017-08-23SEC Division of Corporation Finance no-action letter: First Trust Exchange-Traded Fund III
2017-08-18SEC Investment Management FAQ: Pay-to-Play Rule
2017-08-18SEC Staff Accounting Bulletin No. 116: Updates to Staff Accounting Bulletin Series for ASC Topic 606
2017-08-16SEC Division of Corporation Finance no-action letter: Infosys Limited
2017-08-15SEC Division of Trading and Markets no-action letter: N.I.S. Financial Services, Inc.
2017-08-14SEC Division of Investment Management staff letter: Mutual of America Capital Management LLC
2017-07-28Adoption of Updated EDGAR Filer Manual
2017-07-21Covered Securities Pursuant to Section 18 of the Securities Act of 1933
2017-07-20SEC Division of Investment Management staff letter: Nuveen Municipal Income Fund, Inc. et al.
2017-07-06SEC Division of Corporation Finance no-action letter: Paramount Group, Inc.
2017-06-30SEC Division of Corporation Finance no-action letter: Blue Sand Securities LLC
2017-06-30Form ADV Instructions and Federal Information Law Requirements
2017-06-19SEC Division of Investment Management staff letter: Nuveen Fund Advisors, LLC
2017-06-16SEC Division of Corporation Finance no-action letter: MAG Mutual Insurance Company
2017-05-24SEC Division of Corporation Finance no-action letter: Bank of America N.A. et al.
2017-05-22SEC Division of Corporation Finance no-action letter: Leon G. Cooperman et al.
2017-05-19SEC Division of Corporation Finance no-action letter: LA Fan Club, Inc. Membership Program
2017-05-12SEC Division of Corporation Finance no-action letter: Yahoo! Inc.
2017-05-09Technical Amendments to Form ADV and Form ADV-W
2017-05-09Amendments to Investment Advisers Act Rules To Reflect Changes Made by the FAST Act
2017-05-02SEC Division of Corporation Finance no-action letter: Citizens Bank, N.A. and Citizens Bank of Pennsylvania
2017-04-28Exemption Under Rule 608(e) of Regulation NMS from Certain Provisions of the Tick Size Pilot Program Plan
2017-04-28SEC Exemption Under Rule 608(e) of Regulation NMS from Tick Size Pilot Program Data Publication Requirements for FINRA and CHX
2017-04-26SEC Division of Corporation Finance no-action letter: Hines Global REIT II, Inc.
2017-04-26SEC Division of Trading and Markets no-action letter: Murphy & McGonigle, P.C.
2017-04-24Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies); Extension of Comment Period
2017-04-18SEC Division of Investment Management staff letter: Ironwood Multi-Strategy Fund LLC and Ironwood Institutional Multi-Strategy Fund LLC
2017-04-14SEC Division of Investment Management staff letter: Macquarie Capital (USA) Inc.
2017-04-12Inflation Adjustments and Other Technical Amendments Under Titles I and III of the Jobs Act
2017-04-11SEC Division of Corporation Finance no-action letter: First Trust Exchange-Traded Fund VIII
2017-04-07SEC Division of Corporation Finance no-action letter: Mphasis Limited
2017-04-06SEC Division of Investment Management staff letter: Swiss Helvetia Fund
2017-04-05SEC Division of Investment Management staff letter: Guggenheim Credit Allocation Fund
2017-04-03SEC Division of Corporation Finance no-action letter: Rhode Island Commerce Corporation
2017-03-31Adoption of Updated EDGAR Filer Manual
2017-03-29Securities Transaction Settlement Cycle
2017-03-17Inline XBRL Filing of Tagged Data
2017-03-17Exhibit Hyperlinks and HTML Format
2017-03-15FINRA Proposed Rule Change To Amend Rule 6191 To Implement Anonymous Grouped Masking for OTC Activity in Tick Size Pilot Program
2017-03-15Proposed Amendments to Municipal Securities Disclosure
2017-03-08SEC Division of Investment Management staff letter: Dechert LLP
2017-03-08SEC Division of Corporation Finance no-action letter: Voya Financial, Inc.
2017-03-07Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies)
2017-03-06SEC Division of Corporation Finance no-action letter: Transportadora de Gas del Sur S.A.
2017-03-02SEC Division of Corporation Finance no-action letter: Rowan Companies plc
2017-02-28Exemptions To Facilitate Intrastate and Regional Securities Offerings
2017-02-28Exemption Under Rule 608(e) of Regulation NMS from Certain Provisions of the Plan to Implement a Tick Size Pilot Program
2017-02-17SEC Division of Trading and Markets no-action letter: Lincoln Financial Distributors, Inc.
2017-02-15Exemptions for Security-Based Swaps
2017-02-15Investment Adviser Association request for interpretive guidance or no-action relief regarding standing letters of authorization
2017-02-15SEC Investment Management FAQ: Mutual Fund Fee Structures
2017-02-14SEC no-action letter: Morgan Stanley waiver of ineligible issuer status under Rule 405
2017-02-08Adoption of Updated EDGAR Filer Manual
2017-01-31SEC Division of Corporation Finance no-action letter: Form F-7
2017-01-27SEC Division of Trading and Markets no-action letter: Financial Industry Regulatory Authority
2017-01-26SEC Division of Corporation Finance no-action letter: Citigroup Global Markets Inc.
2017-01-25SEC Division of Investment Management staff letter: Dechert
2017-01-25SEC Division of Investment Management staff letter: Invesco Senior Income Trust, et al.
2017-01-24SEC no-action letter: Morgan Stanley waiver of ineligible issuer status under Rule 405
2017-01-23Adoption of Updated EDGAR Filer Manual
2017-01-18Securities and Exchange Commission Adjustments to Civil Monetary Penalty Amounts
2017-01-17SEC Division of Corporation Finance no-action letter: Citigroup, Inc.
2017-01-13SEC no-action letter: Morgan Stanley waiver of ineligible issuer status under Rule 405
2017-01-13SEC Division of Corporation Finance no-action letter: Morgan Stanley Smith Barney LLC
2017-01-06SEC Division of Investment Management staff letter: Capital Group
2017-01-05SEC Division of Corporation Finance no-action letter: Aequitas NEO Exchange Inc.
2016-12-28Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act; Correction
2016-12-23Securities and Exchange Commission Semiannual Regulatory Flexibility Agenda
2016-12-23Consolidated Audit Trail
2016-12-22SEC Division of Corporation Finance no-action letter: GTJ REIT, Inc.
2016-12-21SEC Division of Corporation Finance no-action letter: Rich Uncles NNN REIT, Inc.
2016-12-19SEC Division of Investment Management staff letter: American Century Investment Management, Inc.
2016-12-16SEC Division of Corporation Finance no-action letter: Deutsche Bank AG
2016-12-15SEC Division of Corporation Finance no-action letter: Deutsche Bank AG
2016-12-15SEC Division of Corporation Finance no-action letter: The Goldman Sachs Group, Inc., et al.
2016-12-12SEC Division of Corporation Finance no-action letter: State Street Corporation
2016-12-12SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
2016-12-09SEC Division of Investment Management staff letter: Russell Investment Management, LLC
2016-12-09Waterside Enterprises, LLC Report to JP Morgan Chase Bank, N.A. regarding Rule 506 Compliance
2016-12-08SEC Division of Corporation Finance no-action letter: Metalink Ltd.
2016-12-08SEC Division of Corporation Finance no-action letter: Japan International Cooperation Agency
2016-12-06SEC Division of Investment Management staff letter: CenturyLink Investment Management Company
2016-12-06SEC Division of Investment Management staff letter: Stifel, Nicolaus & Company, Inc.
2016-12-06SEC Division of Corporation Finance no-action letter: Equidate, Inc. and Equidate Holdings LLC
2016-12-02SEC Division of Investment Management staff letter: Life Partners Position Holder Trust and Life Partners IRA Partnership, LLC
2016-12-01SEC Division of Corporation Finance no-action letter: Pacific Investment Management Company LLC
2016-11-30SEC Division of Corporation Finance no-action letter: American Family Mutual Insurance Company
2016-11-30Exemption Under Rule 608(e) of Regulation NMS from Certain Provisions of the Plan to Implement a Tick Size Pilot Program
2016-11-30SEC Division of Corporation Finance no-action letter: Gabelli NextShares Trust
2016-11-29Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6191 To Modify the Web Site Data Publication Requirements Relating to the Regulation NMS Plan To Implement a Tick Size Pilot Program
2016-11-21Exemptions To Facilitate Intrastate and Regional Securities Offerings
2016-11-21SEC Division of Corporation Finance no-action letter: Morgan Stanley Smith Barney LLC
2016-11-18Investment Company Reporting Modernization
2016-11-18Investment Company Liquidity Risk Management Programs
2016-11-18Investment Company Swing Pricing
2016-11-16SEC Division of Investment Management staff letter: Great-West Life & Annuity Insurance Company
2016-11-10Universal Proxy
2016-11-08SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
2016-11-03SEC no-action letter: Stifel, Nicolaus & Co., Inc. waiver of Regulation A and Regulation D disqualification
2016-10-31SEC Division of Trading and Markets no-action letter: Canadian Imperial Bank of Commerce
2016-10-28SEC Division of Corporation Finance no-action letter: Rule 144(d)(1) Up-C Structure
2016-10-26Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Premise Capital Frontier Advantage Diversified Tactical ETF
2016-10-25SEC Division of Corporation Finance no-action letter: Standard Industries Inc.
2016-10-20SEC Division of Corporation Finance no-action letter: Ivy NextShares
2016-10-13SEC Interim Chief Accountant Letter on Auditing Profession Sustainability and PCAOB Recommendations
2016-10-13Definition of Covered Clearing Agency
2016-10-13Standards for Covered Clearing Agencies
2016-10-06SEC Division of Corporation Finance no-action letter: First Trust Exchange-Traded Fund VIII
2016-10-05Amendment to Securities Transaction Settlement Cycle
2016-10-04SEC no-action letter: Exemption Under Rule 608(e) of Regulation NMS for Chicago Stock Exchange from Tick Size Pilot Program provisions
2016-10-04SEC Division of Investment Management staff letter: Robert Van Grover, Esq., Seward & Kissel LLP
2016-10-03SEC no-action letter: Exemption Under Rule 608(e) of Regulation NMS for Investors Exchange LLC from Tick Size Pilot Plan provisions
2016-09-30Adoption of Updated EDGAR Filer Manual
2016-09-29Extension of Comment Period for Disclosure Update and Simplification
2016-09-28SEC Division of Investment Management staff letter: Neuberger Berman Investment Advisers LLC
2016-09-28Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order With Respect to MSRB Rule G-37
2016-09-28Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order With Respect to FINRA Rule 2030
2016-09-27SEC Division of Investment Management staff letter: Thrivent Financial for Lutherans and Thrivent Asset Management, LLC
2016-09-23SEC Division of Corporation Finance no-action letter: Aviva plc
2016-09-20SEC Division of Investment Management staff letter: The Herzfeld Caribbean Basin Fund, Inc.
2016-09-20Securities and Exchange Commission List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2016-09-13SEC Division of Investment Management staff letter: Hannon Armstrong Sustainable Infrastructure Capital, Inc.
2016-09-13Exemption Under Rule 608(e) of Regulation NMS from a Certain Provision of the Plan to Implement a Tick Size Pilot Program
2016-09-12Exhibit Hyperlinks and HTML Format
2016-09-12SEC Division of Corporation Finance no-action letter: Blackstone Real Estate Income Trust, Inc.
2016-09-09SEC Division of Corporation Finance no-action letter: SG Americas Securities, LLC
2016-09-09SEC Division of Corporation Finance no-action letter: BOK Financial Corporation
2016-09-08SEC Division of Corporation Finance no-action letter: Raymond James Financial, Inc.
2016-09-08SEC Division of Investment Management staff letter: Depository Trust Company of Delaware, LLC dba Delaware Depository
2016-09-06SEC Division of Corporation Finance no-action letter: First Trust Exchange-Traded Fund III
2016-09-02Access to Data Obtained by Security-Based Swap Data Repositories
2016-09-02Notice of Intent to Issue Order Regarding MSRB Rule G-37 Equivalence to SEC Pay to Play Rule
2016-09-02SEC Notice of Intent to Issue Order Regarding FINRA Rule 2030 Pay-to-Play Restrictions
2016-09-01SEC Division of Corporation Finance no-action letter: Sancus Capital Management LP
2016-09-01Form ADV and Investment Advisers Act Rules
2016-09-01SEC Division of Corporation Finance no-action letter: The Procter & Gamble Company Exchange Offer
2016-08-31Request for Comment on Subpart 400 of Regulation S-K Disclosure Requirements Relating to Management, Certain Security Holders and Corporate Governance Matters
2016-08-30SEC Exemption Under Rule 608(e) of Regulation NMS from Tick Size Pilot Program Data Collection Requirements
2016-08-30SEC 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 Investor Exchange LLC
2016-08-26Extension of Comment Period for Modernization of Property Disclosures for Mining Registrants
2016-08-24SEC Division of Corporation Finance no-action letter: Invesco Ltd.
2016-08-24SEC Division of Corporation Finance no-action letter: Endesa Americas S.A.
2016-08-23SEC Division of Corporation Finance no-action letter: Apollo Global Management, LLC
2016-08-19SEC Division of Trading and Markets no-action letter: Financial Industry Regulatory Authority, Inc., Re: Treatment under Rule 15c3-l of Margin Posted by Broker-Dealers with Respect to Swaps
2016-08-17SEC Division of Corporation Finance no-action letter: AIXTRON SE
2016-08-12Regulation SBSR—Reporting and Dissemination of Security-Based Swap Information
2016-08-08SEC Division of Trading and Markets no-action letter: Royal Bank of Scotland Group plc
2016-08-05SEC Division of Investment Management staff letter: AFL-CIO Housing Investment Trust
2016-08-04Disclosure Update and Simplification
2016-08-02SEC Division of Corporation Finance no-action letter: SABMiller
2016-07-29Amendments to the Commission's Rules of Practice
2016-07-27Disclosure of Payments by Resource Extraction Issuers
2016-07-27SEC Division of Corporation Finance no-action letter: Swisher Hygiene Inc.
2016-07-27Order Recognizing Substantial Similarity of EU, Canadian, and USEITI Resource Extraction Payment Disclosure Requirements to Rule 13q-1
2016-07-27Disclosure of Order Handling Information
2016-07-26Order Granting Application of Investors' Exchange LLC for a Limited Exemption from Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f)
2016-07-26SEC Division of Trading and Markets no-action letter: Investors' Exchange LLC
2016-07-26SEC no-action letter: Exemption Under Rule 608(e) of Regulation NMS for National Stock Exchange from Tick Size Pilot Plan provisions
2016-07-20SEC 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 Nasdaq OMX BX LLC
2016-07-20SEC Exemption Under Rule 608(e) from Tick Size Pilot Plan Provisions for Nasdaq OMX PHLX LLC
2016-07-20SEC no-action letter: Exemption Under Rule 608(e) of Regulation NMS for Nasdaq Stock Market LLC from Tick Size Pilot Plan provisions
2016-07-19SEC Division of Trading and Markets no-action letter: MML Investors Services, LLC
2016-07-19SEC Division of Corporation Finance no-action letter: Sun Pharmaceutical Industries Ltd.
2016-07-15SEC Division of Corporation Finance no-action letter: Hellenic Exchanges & Athens Stock Exchange, SA
2016-07-14SEC Division of Corporation Finance no-action letter: Flamel Technologies S.A. and Avadel Pharmaceuticals plc
2016-07-11SEC Division of Corporation Finance no-action letter: Lockheed Martin Corporation
2016-07-05Adviser Business Continuity and Transition Plans
2016-07-01Amendments to Smaller Reporting Company Definition
2016-07-01Adoption of Updated EDGAR Filer Manual
2016-07-01Adjustments to Civil Monetary Penalty Amounts
2016-06-28SEC Division of Corporation Finance no-action letter: Mphasis Limited
2016-06-27Modernization of Property Disclosures for Mining Registrants
2016-06-23SEC 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 Chicago Stock Exchange, Inc.
2016-06-23In the Matter of the Application of Investors' Exchange, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission