Securities and Exchange Commission

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• 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.
• 2016-06-22Asset-Backed Securities Disclosure and Registration
• 2016-06-21SEC Division of Corporation Finance no-action letter: Feltl & Company, Inc.
• 2016-06-20Fidelity Management & Research Company et al. Request for No-Action Relief Regarding Auditor Independence
• 2016-06-17Trade Acknowledgment and Verification of Security-Based Swap Transactions
• 2016-06-17SEC Trading and Markets FAQ: Automated Quotations Under Regulation NMS
• 2016-06-13SEC Division of Corporation Finance no-action letter: The Bank of New York Mellon Corporation
• 2016-06-10Incentive-Based Compensation Arrangements
• 2016-06-09SEC Interim Final Rule: Form 10-K Summary
• 2016-06-09Securities and Exchange Commission Regulatory Flexibility Agenda
• 2016-05-31Exemption Under Rule 608(e) of Regulation NMS from Certain Provisions of the Plan to Implement a Tick Size Pilot Program to NYSEMKT LLC
• 2016-05-31Exemption Under Rule 608(e) of Regulation NMS from Certain Provisions of the Tick Size Pilot Plan to NYSE Arca Inc.
• 2016-05-27SEC Division of Investment Management staff letter: Deutsche Multi-Market Income Trust (Omission of Shareholder Proposal)
• 2016-05-26Retail Foreign Exchange Transactions
• 2016-05-24Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants; Correction
• 2016-05-24Performance-Based Investment Advisory Fees
• 2016-05-19Adoption of Updated EDGAR Filer Manual
• 2016-05-16SEC 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 Bats EDGX Exchange, Inc.
• 2016-05-16SEC Exemption Under Rule 608(e) for Bats BYX Exchange from Tick Size Pilot Plan Provisions
• 2016-05-16SEC Exemption Under Rule 608(e) for Bats EDGA Exchange from Tick Size Pilot Plan Provisions
• 2016-05-13Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
• 2016-05-10Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
• 2016-05-05SEC Division of Corporation Finance no-action letter: ITT Corporation
• 2016-04-27SEC Division of Corporation Finance no-action letter: First Trust Exchange-Traded Fund III
• 2016-04-25Exemption Under Rule 608(e) of Regulation NMS from Certain Provisions of the Tick Size Pilot Plan to NYSE LLC
• 2016-04-25SEC Division of Investment Management staff letter: Investment Adviser Association
• 2016-04-22Business and Financial Disclosure Required by Regulation S-K
• 2016-04-21SEC Division of Corporation Finance no-action letter: Baxter International Inc.
• 2016-04-14SEC Division of Investment Management staff letter: J.P. Morgan Securities LLC
• 2016-04-13SEC Division of Corporation Finance no-action letter: Oslo Bors - Merkur Market
• 2016-04-08Certain Natural Gas and Electric Power Contracts
• 2016-04-04SEC Exemption Under Rule 608(e) from Tick Size Pilot Plan Provisions for Nasdaq Stock Market LLC
• 2016-04-04SEC no-action letter: Exemption Under Rule 608(e) of Regulation NMS for Chicago Stock Exchange from Tick Size Pilot Plan provisions
• 2016-04-04SEC Exemption Under Rule 608(e) of Regulation NMS for NYSE from Tick Size Pilot Plan Provisions
• 2016-04-04SEC Exemption Under Rule 608(e) from Tick Size Pilot Plan Provisions for Nasdaq OMX PHLX LLC
• 2016-04-04Exemption Under Rule 608(e) of Regulation NMS from Certain Provisions of the Tick Size Pilot Plan for NYSE Arca
• 2016-04-04SEC Exemption Under Rule 608(e) for National Stock Exchange from Tick Size Pilot Plan Provisions
• 2016-04-04Exemption Under Rule 608(e) of Regulation NMS from Certain Provisions of the Tick Size Pilot Plan for NYSE MKT LLC
• 2016-04-04SEC Exemption Under Rule 608(e) from Tick Size Pilot Plan Provisions for NASDAQ OMX BX, Inc.
• 2016-04-01CFR Correction: Removal of Section 240.17a-23
• 2016-03-24Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS
• 2016-03-24SEC Division of Corporation Finance no-action letter: Canaccord Genuity Inc.
• 2016-03-24SEC Division of Investment Management staff letter: SPDR S&P Dividend ETF
• 2016-03-22Exemption Under Rule 608(e) of Regulation NMS from Certain Provisions of the Tick Size Pilot Plan for Bats EDGX, Inc.
• 2016-03-22Exemption Under Rule 608(e) of Regulation NMS from Certain Provisions of the Tick Size Pilot Plan for Bats EDGA, Inc.
• 2016-03-22Exemption Under Rule 608(e) of Regulation NMS from Certain Provisions of the Tick Size Pilot Plan to Bats BYX, Inc.
• 2016-03-21SEC Division of Corporation Finance no-action letter: Syngenta AG
• 2016-03-17Securities Investor Protection Corporation
• 2016-03-14SEC Division of Corporation Finance no-action letter: American International Group, Inc.
• 2016-03-14SEC Division of Corporation Finance no-action letter: iShares MSCI Frontier 100 ETF
• 2016-03-14SEC Division of Corporation Finance no-action letter: Royal Alliance Associates, Inc., SagePoint Financial, Inc. and FSC Securities Corporation
• 2016-03-11SEC Division of Corporation Finance no-action letter: Bank of America, N.A., Merrill Lynch, Pierce, Fenner & Smith Incorporated
• 2016-03-11Correction: Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity; Security-Based Swap Dealer De Minimis Exception
• 2016-03-08SEC Division of Corporation Finance no-action letter: Biotie Therapies Oyj
• 2016-03-08Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan To Implement a Tick Size Pilot Program To Add National Stock Exchange, Inc. as a Participant
• 2016-03-03SEC Exemption Under Rule 608(e) of Regulation NMS for BATS Exchange from Tick Size Pilot Program Provisions
• 2016-03-02Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
• 2016-02-26SEC Division of Corporation Finance no-action letter: Eaton Vance ETMF Trust
• 2016-02-24SEC Division of Investment Management staff letter: BlackRock Health Sciences Trust
• 2016-02-23SEC Exemption Under Rule 608(e) from Tick Size Pilot Program Provisions for FINRA
• 2016-02-23Transfer Agent Regulations; Extension of Comment Period
• 2016-02-17Exemption Under Rule 608(e) of Regulation NMS from Certain Provisions of the Tick Size Pilot Plan
• 2016-02-16SEC Division of Corporation Finance no-action letter: Metalink Ltd.
• 2016-02-10Exemption Under Rule 608(e) of Regulation NMS from Certain Provisions of the Tick Size Pilot Plan to BATS Exchange, Inc.
• 2016-02-02SEC Order Granting Waivers of Disqualification Provisions for Municipalities Continuing Disclosure Cooperation Initiative Underwriters
• 2016-02-02SEC Division of Trading and Markets no-action letter: Representation Letter from Taiwan Futures Exchange
• 2016-01-29SEC Division of Corporation Finance no-action letter: Just Dial Ltd.
• 2016-01-27Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers
• 2016-01-27SEC Division of Corporation Finance no-action letter: Barclays PLC and Barclays Bank PLC
• 2016-01-27SEC Division of Corporation Finance no-action letter: Barclays Capital Inc.
• 2016-01-21Securities and Exchange Commission; Reopening of Comment Period for Proposed Amendments to Rule 13n-4
• 2016-01-19Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by Reference on Form S-1 for Smaller Reporting Companies
• 2016-01-15SEC Division of Trading and Markets no-action letter: Chicago Mercantile Exchange Inc.
• 2016-01-14SEC Division of Corporation Finance no-action letter: State Street Corporation
• 2016-01-12SEC Division of Corporation Finance no-action letter: College Savings Plans Network
• 2016-01-08SEC Division of Corporation Finance no-action letter: In the Matter of Steven A. Cohen
• 2016-01-07SEC Division of Investment Management staff letter: Fiduciary/Claymore MLP Opportunity Fund
• 2016-01-07Establishing the Form and Manner With Which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission; Correction
• 2016-01-04Adoption of Updated EDGAR Filer Manual
• 2016-01-04SEC Division of Corporation Finance no-action letter: Pavonia Limited
• 2015-12-31Transfer Agent Regulations
• 2015-12-30Regulation Systems Compliance and Integrity; Correction
• 2015-12-29SEC Division of Investment Management staff letter: Chicago Mercantile Exchange
• 2015-12-29SEC Division of Investment Management staff letter: LCH.Clearnet Limited and LCH.Clearnet LLC
• 2015-12-29SEC Division of Investment Management staff letter: ICE Clear Credit LLC
• 2015-12-28Regulation of NMS Stock Alternative Trading Systems
• 2015-12-28Use of Derivatives by Registered Investment Companies and Business Development Companies
• 2015-12-28SEC Division of Corporation Finance no-action letter: Siliconware Precision Industries Co., Ltd.
• 2015-12-23Disclosure of Payments by Resource Extraction Issuers
• 2015-12-23Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission
• 2015-12-22Crowdfunding; Correction
• 2015-12-22SEC Division of Corporation Finance no-action letter: Morgan Stanley
• 2015-12-21SEC Division of Corporation Finance no-action letter: KCG Holdings, Inc.
• 2015-12-15Securities and Exchange Commission Regulatory Flexibility Agenda
• 2015-12-11SEC Division of Corporation Finance no-action letter: JPMorgan Chase Bank, N.A.
• 2015-12-02SEC Division of Corporation Finance no-action letter: Ensco plc
• 2015-12-01Eurex Deutschland Notification of Intent to Rely on Class No-Action Relief for Familiarization Activities
• 2015-11-24SEC Division of Trading and Markets no-action letter: Bloomberg L.P.
• 2015-11-17SEC Division of Corporation Finance no-action letter: Nokia Corporation
• 2015-11-13Order Granting Exemption From Compliance With the National Market System Plan To Implement a Tick Size Pilot Program
• 2015-11-13SEC Division of Trading and Markets no-action letter: National Bank of Greece
• 2015-11-12Investment Company Institute, et al. Request for Clarification of ARA Staff No-Action Letter
• 2015-11-12SEC Division of Corporation Finance no-action letter: First Trust Exchange-Traded Fund IV
• 2015-11-10Exemptions To Facilitate Intrastate and Regional Securities Offerings
• 2015-11-04SEC Division of Corporation Finance no-action letter: First Trust Exchange-Traded Fund IV
• 2015-11-04Securities Investor Protection Corporation Proposed Rules on Supplemental Reports
• 2015-10-28Securities and Exchange Commission List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
• 2015-10-26SEC Division of Corporation Finance no-action letter: National Asset Management, Inc.
• 2015-10-20SEC Division of Corporation Finance no-action letter: ARRIS Group, Inc., ARRIS International Limited, and Pace plc
• 2015-10-19SEC Division of Investment Management staff letter: BlackRock Limited Duration Trust, et al.
• 2015-10-19SEC Division of Corporation Finance no-action letter: General Electric Company
• 2015-10-15Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
• 2015-10-13Request for Comment on the Effectiveness of Financial Disclosures About Entities Other Than the Registrant
• 2015-10-08SEC Division of Corporation Finance no-action letter: Federal Home Loan Mortgage Corporation
• 2015-10-06SEC Division of Trading and Markets no-action letter: Chicago Stock Exchange, Inc.
• 2015-10-05Amendments to the Commission's Rules of Practice
• 2015-10-05Amendments to the Commission's Rules of Practice
• 2015-10-02SEC Division of Investment Management staff letter: North American Division of Seventh-Day Adventists
• 2015-10-02Adoption of Updated EDGAR Filer Manual
• 2015-10-01Request for Comment on the Effectiveness of Financial Disclosures About Entities Other Than the Registrant
• 2015-09-30SEC Order Granting Waivers of Disqualification Provisions for Municipalities Continuing Disclosure Cooperation Initiative Underwriters
• 2015-09-28SEC Division of Investment Management staff letter: F. Porter Stansberry
• 2015-09-25Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
• 2015-09-21SEC Division of Investment Management staff letter: Willkie Farr & Gallagher
• 2015-09-17SEC Division of Corporation Finance no-action letter: Siliconware Precision Industries Co., Ltd.
• 2015-09-14Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
• 2015-09-04SEC Division of Trading and Markets no-action letter: Representation Letter from Borsa Italiana
• 2015-09-02SEC Division of Corporation Finance no-action letter: The Dow Chemical Company
• 2015-08-25Applications 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
• 2015-08-24SEHK Representation Letter Regarding Familiarization Activities Under Class Relief Letter
• 2015-08-24SEC Division of Corporation Finance no-action letter: Interline Brands, Inc.
• 2015-08-24SEC Division of Trading and Markets no-action letter: Representation Letter from HKFE
• 2015-08-24Adoption of Updated EDGAR Filer Manual
• 2015-08-17SEC Division of Corporation Finance no-action letter: Citigroup Inc.
• 2015-08-12SEC Division of Corporation Finance no-action letter: Federal Life Insurance Company (Mutual)
• 2015-08-10Interpretation of the SEC's Whistleblower Rules Under Section 21F of the Securities Exchange Act of 1934
• 2015-08-07Royal Dutch Shell plc Proposed Extension to Dividend Access Mechanism
• 2015-08-05SEC Division of Corporation Finance no-action letter: Carlyle GMS Finance
• 2015-08-05SEC Division of Corporation Finance no-action letter: Guggenheim Partners Investment Management, LLC
• 2015-08-04SEC Division of Corporation Finance no-action letter: Forest City Enterprises, Inc.
• 2015-08-03SEC Division of Corporation Finance no-action letter: Aegis Capital Corp.
• 2015-08-03SEC Division of Trading and Markets no-action letter: Royal Bank of Scotland Group, plc
• 2015-08-03SEC Division of Corporation Finance no-action letter: Citizen VC, Inc.
• 2015-08-03SEC Division of Trading and Markets no-action letter: Royal Bank of Scotland Group, plc (AT1 Offering)
• 2015-07-30SEC Division of Corporation Finance no-action letter: Republic of Peru
• 2015-07-24SEC Division of Corporation Finance no-action letter: Biomet, Inc.
• 2015-07-22SEC Division of Trading and Markets no-action letter: BATS Global Markets, Inc.
• 2015-07-21SEC no-action letter: Citigroup Global Markets, Inc. waiver of Regulation D disqualification
• 2015-07-21SEC Division of Corporation Finance no-action letter: Citigroup Inc.
• 2015-07-20SEC Division of Corporation Finance no-action letter: Piper Jaffray & Co.
• 2015-07-17SEC Division of Corporation Finance no-action letter: Crescent Capital Group LP
• 2015-07-15SEC Division of Investment Management staff letter: Carey Credit Income Fund et al.
• 2015-07-15Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes
• 2015-07-15SEC Division of Trading and Markets no-action letter: FolioFN
• 2015-07-14Listing Standards for Recovery of Erroneously Awarded Compensation
• 2015-07-08Possible Revisions To Audit Committee Disclosures
• 2015-07-08Omission of Shareholder Proposal (Fidelity Freedom 2020 Fund, Fidelity Freedom 2025 Fund, and Fidelity Advisor Municipal Income Fund)
• 2015-07-06SEC Division of Corporation Finance no-action letter: Macquarie Capital (USA) Inc.
• 2015-07-02Securities and Exchange Commission: Amendments to Form ADV and Investment Advisers Act Rules
• 2015-07-01Commission Guidance Regarding the Definition of the Terms “Spouse” and “Marriage” Following the Supreme Court's Decision in United States v. Windsor
• 2015-07-01Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A); Correction
• 2015-07-01Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Compliance Date
• 2015-06-29Adoption of Updated EDGAR Filer Manual
• 2015-06-29SEC Division of Corporation Finance no-action letter: KKR & Co. L.P.
• 2015-06-19Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)
• 2015-06-18Securities and Exchange Commission Regulatory Flexibility Agenda
• 2015-06-18SEC Order Granting Waivers of Disqualification Provisions for Municipalities Continuing Disclosure Cooperation Initiative Underwriters
• 2015-06-18Nuclear Regulatory Commission Semiannual Regulatory Agenda
• 2015-06-16SEC Division of Investment Management staff letter: Jackson National Life
• 2015-06-16SEC Division of Corporation Finance no-action letter: Cambria ETF Trust
• 2015-06-12SEC Division of Corporation Finance no-action letter: New Monster Corporation and New Laser Corporation
• 2015-06-12Amendments to Form ADV and Investment Advisers Act Rules
• 2015-06-12Investment Company Reporting Modernization
• 2015-06-12SEC Division of Corporation Finance no-action letter: PHH Corporation
• 2015-06-04Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A) Correction
• 2015-06-01SEC Division of Corporation Finance no-action letter: Merrill Lynch, Pierce, Fenner & Smith Incorporated
• 2015-05-26Adoption of Updated EDGAR Filer Manual
• 2015-05-20SEC Division of Corporation Finance no-action letter: Barclays PLC, Barclays Bank PLC, and Barclays Capital Inc.
• 2015-05-20SEC Division of Corporation Finance no-action letter: JPMorgan Chase & Co.
• 2015-05-20SEC Division of Corporation Finance no-action letter: Barclays PLC
• 2015-05-20SEC Division of Corporation Finance no-action letter: Citigroup Inc.
• 2015-05-20The Royal Bank of Scotland Group plc Waiver Request Under Rule 405
• 2015-05-20SEC Division of Investment Management staff letter: UBS AG
• 2015-05-20SEC Division of Corporation Finance no-action letter: UBS AG
• 2015-05-20SEC Division of Corporation Finance no-action letter: UBS AG
• 2015-05-20SEC Division of Investment Management staff letter: JPMorgan Chase & Co.
• 2015-05-15SEC Division of Corporation Finance no-action letter: Macquarie Capital (USA) Inc.
• 2015-05-13Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity Arranged, Negotiated, or Executed in the U.S.
• 2015-05-13SEC Division of Corporation Finance no-action letter: Helmerich & Payne, Inc.
• 2015-05-13SEC Division of Corporation Finance no-action letter: Danaher Corporation
• 2015-05-11SEC Division of Corporation Finance no-action letter: Circle Entertainment, Inc.
• 2015-05-07Pay Versus Performance
• 2015-05-01SEC Division of Corporation Finance no-action letter: Archer Daniels Midland Company
• 2015-05-01SEC Division of Corporation Finance no-action letter: Deutsche Bank AG
• 2015-04-30SEC Division of Investment Management staff letter: Adams Diversified Equity Fund Inc.
• 2015-04-28SEC Division of Investment Management staff letter: Tudor Employee Investment Fund LLC and Tudor Investment Corporation
• 2015-04-27SEC Division of Corporation Finance no-action letter: Republic of Chile
• 2015-04-23SEC Division of Corporation Finance no-action letter: Deutsche Bank AG
• 2015-04-21SEC Division of Corporation Finance no-action letter: Hertz Global Holdings, Inc.
• 2015-04-21SEC Division of Trading and Markets no-action letter: Royal Bank of Canada