Securities and Exchange Commission

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• 2015-04-20Adoption of Updated EDGAR Filer Manual
• 2015-04-20SEC Division of Corporation Finance no-action letter: BlackRock Advisors, LLC
• 2015-04-07SEC Division of Investment Management staff letter: Omission of Shareholder Proposal Submitted by Steven N. Harris (Liberty All-Star Equity Fund)
• 2015-04-07SEC no-action letter: ING Groep N.V. exemptive relief from Regulation M
• 2015-04-03SEC Division of Investment Management staff letter: Harris & Harris Group, Inc.
• 2015-04-03SEC Division of Investment Management staff letter: Franklin Templeton Investments
• 2015-04-02Exemption for Certain Exchange Members
• 2015-03-27SEC Division of Corporation Finance no-action letter: BHG S.A.-Brazil Hospitality Group
• 2015-03-24SEC no-action letter: The Hongkong and Shanghai Banking Corporation Limited and HSBC Bank plc
• 2015-03-23SEC Division of Investment Management staff letter: 16th Amendment Advisors LLC
• 2015-03-19Regulation SBSR—Reporting and Dissemination of Security-Based Swap Information
• 2015-03-19SEC Division of Investment Management staff letter: Opportunity Partners L.P. Shareholder Proposal (Clough Global Equity Fund)
• 2015-03-16SEC Division of Corporation Finance no-action letter: C&J Energy Services, Inc.
• 2015-03-12SEC Division of Trading and Markets no-action letter: NYLIFE Securities LLC
• 2015-03-10SEC Division of Corporation Finance no-action letter: Ingersoll-Rand plc
• 2015-03-04SEC Division of Corporation Finance no-action letter: H.D. Vest Investment Services, Inc.
• 2015-03-04SEC Division of Trading and Markets no-action letter: Canadian Stock Transfer Company Inc.
• 2015-03-03SEC Division of Corporation Finance no-action letter: Greer Bancshares, Incorporated
• 2015-02-18SEC Division of Investment Management staff letter: Karpus Management, Inc. Shareholder Proposal (Alliance Bernstein Income Fund, Inc.)
• 2015-02-17Disclosure of Hedging by Employees, Officers and Directors
• 2015-02-12SEC Division of Corporation Finance no-action letter: Mylan Inc.
• 2015-02-10SEC Division of Corporation Finance no-action letter: Sanchez Production Partners LLC
• 2015-02-09Rescission of Outdated Rules and Forms, and Amendments To Correct References
• 2015-02-09SEC Division of Investment Management staff letter: American Retirement Association
• 2015-02-06Asset-Backed Securities Disclosure and Registration
• 2015-02-05SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association, Re: Certain Amendments to Rule 15c3-3
• 2015-01-27SEC Division of Corporation Finance no-action letter: Oppenheimer & Co. Inc.
• 2015-01-26SEC Division of Investment Management staff letter: Jonathon Hendricks
• 2015-01-26SEC Division of Trading and Markets no-action letter: MarketAxess Corporation
• 2015-01-23SEC Division of Investment Management staff letter: Fidelity Inflation-Protected Bond Fund (Omission of Shareholder Proposal)
• 2015-01-23SEC Division of Corporation Finance no-action letter: Abbreviated Tender or Exchange Offers for Non-Convertible Debt Securities
• 2015-01-22SEC Division of Corporation Finance no-action letter: Medtronic, Inc., Medtronic Holdings Limited, and Covidien plc
• 2015-01-15SEC Division of Trading and Markets no-action letter: Additional Limited Exemptions for First Trust Dorsey Wright Focus 5 ETF
• 2015-01-14SEC Division of Corporation Finance no-action letter: UBS AG
• 2015-01-09SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
• 2015-01-09SEC Division of Investment Management staff letter: Tom DeWard Shareholder Proposal (LMP Real Estate Income Fund, Inc.)
• 2015-01-06SEC Division of Trading and Markets no-action letter: Banco Santander, S.A
• 2014-12-30Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the Jobs Act
• 2014-12-29List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
• 2014-12-23Adoption of Updated EDGAR Filer Manual
• 2014-12-23Temporary Rule Regarding Principal Trades With Certain Advisory Clients
• 2014-12-22Securities and Exchange Commission Regulatory Flexibility Agenda
• 2014-12-22Nuclear Regulatory Commission Semiannual Regulatory Agenda
• 2014-12-19SEC Division of Corporation Finance no-action letter: First Physicians Capital Group, Inc.
• 2014-12-19SEC Division of Investment Management staff letter: ICE Clear Credit LLC
• 2014-12-19SEC Division of Investment Management staff letter: LCH.Clearnet Limited and LCH.Clearnet LLC
• 2014-12-19SEC Division of Investment Management staff letter: Chicago Mercantile Exchange
• 2014-12-19SEC Division of Corporation Finance no-action letter: iShares Commodities Select Strategy ETF
• 2014-12-19SEC Division of Corporation Finance no-action letter: GenCorp Inc.
• 2014-12-19SEC Division of Corporation Finance no-action letter: Songbird Estates Plc
• 2014-12-19SEC Division of Investment Management staff letter: Royal Bank of Canada
• 2014-12-18SEC Division of Corporation Finance no-action letter: Remy International, Inc. and New Remy Holdco Corp.
• 2014-12-18SEC Division of Corporation Finance no-action letter: First Trust Exchange-Traded Fund III
• 2014-12-18SEC Division of Investment Management staff letter: New Mountain Finance Corporation
• 2014-12-11SEC Division of Trading and Markets no-action letter: Certified Financial Planner Board of Standards, Inc.
• 2014-11-28SEC Division of Trading and Markets no-action letter: NASDAQ OMX BX, Inc.
• 2014-11-25SEC Division of Investment Management staff letter: Bank of America, N.A.
• 2014-11-24SEC Division of Corporation Finance no-action letter: Gilat Satellite Networks, Ltd.
• 2014-11-21Staff Accounting Bulletin No. 115
• 2014-11-20Forward Contracts With Embedded Volumetric Optionality
• 2014-11-19SEC Trading and Markets FAQ: SCI Industry Standards
• 2014-11-18SEC Staff Accounting Bulletin: SAB 115
• 2014-11-18SEC Division of Corporation Finance no-action letter: Bank of America N.A. et al.
• 2014-11-17SEC Division of Trading and Markets no-action letter: Banco Bilbao Vizcaya Argentaria, S.A
• 2014-11-14SEC Division of Corporation Finance no-action letter: Iron Mountain Incorporated
• 2014-11-14SEC Division of Corporation Finance no-action letter: Affymax, Inc.
• 2014-11-13SEC Division of Corporation Finance no-action letter: Orbit International Corp.
• 2014-11-13SEC Division of Corporation Finance no-action letter: FSP 50 South Tenth Street Corp. Liquidating Trust
• 2014-11-12SEC Division of Trading and Markets no-action letter: Representation Letter from LSE Derivatives
• 2014-11-10Asset-Backed Securities Disclosure and Registration; Correction
• 2014-11-07Approval of Nasdaq Rule 5745 Governing Listing and Trading of Exchange-Traded Managed Fund Shares
• 2014-11-06SEC no-action letter: Media General, Inc. holding company reorganization
• 2014-11-06SEC Division of Corporation Finance no-action letter: Avago Technologies
• 2014-11-03SEC Division of Corporation Finance no-action letter: On-Market Bookbuilds Pty Ltd.
• 2014-10-31SEC Division of Investment Management staff letter: Nuveen Credit Strategies Income Fund, et al.
• 2014-10-30SEC Division of Corporation Finance no-action letter: Woori Finance Holdings Co., Ltd., and Woori Bank
• 2014-10-29Adoption of Updated EDGAR Filer Manual
• 2014-10-27SEC Division of Trading and Markets no-action letter: Goldman Sachs Execution & Clearing, L.P.
• 2014-10-09SEC Trading and Markets FAQ: Broker-Dealer Duties When Relying on Securities Act Section 4(a)(4) Exemption to Execute Customer Orders
• 2014-10-07SEC Division of Trading and Markets no-action letter: UBS AG
• 2014-10-02SEC Division of Investment Management staff letter: Guggenheim Strategic Opportunities Fund
• 2014-10-01SEC Division of Corporation Finance no-action letter: UBS AG and UBS Group AG
• 2014-09-30SEC Division of Corporation Finance no-action letter: Garmin Ltd.
• 2014-09-30Asset-Backed Securities Disclosure and Registration
• 2014-09-29SEC Division of Corporation Finance no-action letter: Staple Cotton Discount Corporation
• 2014-09-29SEC Division of Corporation Finance no-action letter: Eteris B.V., Applied Materials, Inc. and Tokyo Electron Limited
• 2014-09-29SEC Division of Corporation Finance no-action letter: UBS AG
• 2014-09-26SEC Division of Investment Management staff letter: Ellsworth Fund Ltd
• 2014-09-23SEC Division of Corporation Finance no-action letter: Barclays Capital Inc.
• 2014-09-23SEC Division of Corporation Finance no-action letter: Barclays PLC
• 2014-09-22SEC Division of Corporation Finance no-action letter: Wells Fargo Advisors, LLC
• 2014-09-18SEC no-action letter: Banco Santander, S.A. exemptive relief for exchange offers
• 2014-09-18SEC Division of Trading and Markets no-action letter: Banco Santander, S.A.
• 2014-09-17SEC Division of Corporation Finance no-action letter: Rocky Mountain Chocolate Factory, Inc.
• 2014-09-17Euronext Amsterdam Notification of Intent to Undertake Familiarization Activities in Reliance on Class No-Action Relief
• 2014-09-17Euronext Brussels Notification of Intent to Rely on Class No-Action Relief for Familiarization Activities
• 2014-09-17SEC Division of Trading and Markets no-action letter: Representation Letter from Euronext Paris
• 2014-09-11Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
• 2014-09-05SEC Division of Corporation Finance no-action letter: Horizon Pharma, Inc. and Horizon Pharma plc
• 2014-09-02Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule; Correction
• 2014-08-26SEC Order Granting Limited Exemption from Rule 102(a) of Regulation M to Jones Lang LaSalle Income Property Trust
• 2014-08-22SEC Division of Corporation Finance no-action letter: Citigroup Global Markets Inc.
• 2014-08-18SEC Division of Investment Management staff letter: Amerivest Investment Management, LLC
• 2014-08-18Temporary Rule Regarding Principal Trades With Certain Advisory Clients
• 2014-08-18SEC Division of Corporation Finance no-action letter: Citigroup Inc.
• 2014-08-15SEC Division of Corporation Finance no-action letter: First Trust Exchange-Traded Fund IV
• 2014-08-14Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
• 2014-08-12SEC Division of Corporation Finance no-action letter: FSP Galleria North Corp. Liquidating Trust
• 2014-08-11SEC Division of Corporation Finance no-action letter: Sooner Holdings, Inc.
• 2014-08-06SEC Division of Investment Management staff letter: Citigroup Global Markets Inc.
• 2014-07-31SEC Division of Corporation Finance no-action letter: ARK ETF Trust
• 2014-07-28SEC Division of Investment Management staff letter: RiverNorth
• 2014-07-24SEC Division of Corporation Finance no-action letter: Morgan Stanley
• 2014-07-23SEC Division of Corporation Finance no-action letter: Dominick & Dominick LLC
• 2014-07-22SEC Division of Corporation Finance no-action letter: UBS AG
• 2014-07-15SEC Division of Corporation Finance no-action letter: HudBay Minerals Inc.
• 2014-07-14SEC Division of Corporation Finance no-action letter: Klabin S.A.
• 2014-07-08Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
• 2014-06-30SEC Division of Corporation Finance no-action letter: Oshkosh Corporation
• 2014-06-30Staff Legal Bulletin No. 20 (IM/CF): Investment Adviser Proxy Voting and Proxy Advisory Firm Exemptions
• 2014-06-27Freedom of Information Act Regulations: Fee Schedule, Addition of Appeal Time Frame, and Miscellaneous Administrative Changes
• 2014-06-27SEC Division of Corporation Finance no-action letter: NorthStar Realty Finance Corp.
• 2014-06-26SEC no-action letter: Weyerhaeuse Company Exchange Offer Pricing Mechanism
• 2014-06-24SEC Division of Corporation Finance no-action letter: AEGON N.V.
• 2014-06-20Adoption of Updated EDGAR Filer Manual
• 2014-06-13Securities and Exchange Commission Regulatory Flexibility Agenda
• 2014-06-13Nuclear Regulatory Commission Semiannual Regulatory Agenda
• 2014-06-11SEC Division of Corporation Finance no-action letter: CBS Corporation
• 2014-06-09SEC Division of Corporation Finance no-action letter: CBS Corporation
• 2014-05-27SEC Division of Corporation Finance no-action letter: Madison Bancorp, Inc.
• 2014-05-22Standards for Covered Clearing Agencies
• 2014-05-20SEC Division of Investment Management staff letter: Credit Suisse
• 2014-05-19SEC Division of Corporation Finance no-action letter: Credit Suisse AG
• 2014-05-16SEC Division of Corporation Finance no-action letter: Group 1 Automotive, Inc
• 2014-05-14SEC Division of Trading and Markets no-action letter: Barclays PLC
• 2014-05-09SEC Division of Corporation Finance no-action letter: Beam Inc., now known as Beam Suntory Inc.
• 2014-05-07SEC Division of Corporation Finance no-action letter: Sundance Energy Australia Limited
• 2014-05-07SEC Division of Trading and Markets no-action letter: National Bank of Greece
• 2014-05-02Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers
• 2014-05-01SEC Division of Corporation Finance no-action letter: Pentair-Switzerland and Pentair-Ireland
• 2014-04-23SEC Division of Corporation Finance no-action letter: First North
• 2014-04-17SEC Division of Investment Management staff letter: The Gabelli Convertible & Income Securities Fund, Inc., et al.
• 2014-04-15Risk Management Controls for Brokers or Dealers with Market Access
• 2014-04-14SEC No-Action Letter Regarding Rule 15a-6 Exemptions for U.S.-Affiliated Foreign Dealers
• 2014-04-09Investment Company Advertising: Target Date Retirement Fund Names and Marketing
• 2014-04-02Extension of Comment Period for Asset-Backed Securities Release
• 2014-03-28ICE Futures Europe Notification of Intent to Rely on Class No-Action Relief for Familiarization Activities
• 2014-03-27SEC Division of Corporation Finance no-action letter: VSB Bancorp, Inc.
• 2014-03-27SEC Division of Corporation Finance no-action letter: The Royal Bank of Scotland Group plc
• 2014-03-26SEC Division of Corporation Finance no-action letter: Aon plc
• 2014-03-26Standards for Covered Clearing Agencies
• 2014-03-26SEC Division of Corporation Finance no-action letter: Gasco Energy, Inc.
• 2014-03-25SEC Division of Trading and Markets no-action letter: NYSE Arca, Inc.
• 2014-03-25SEC Division of Trading and Markets no-action letter: Lloyds Banking Group plc
• 2014-03-20SEC Division of Investment Management staff letter: Invesco Advisers, Inc.
• 2014-03-20SEC Division of Corporation Finance no-action letter: TransCanada PipeLines Limited
• 2014-03-14SEC Division of Trading and Markets no-action letter: Representation Letter from Tokyo Stock Exchange and Osaka Securities Exchange
• 2014-03-12SEC Division of Corporation Finance no-action letter: Jefferies LLC
• 2014-03-10Adoption of Updated EDGAR Filer Manual
• 2014-03-06SEC Division of Corporation Finance no-action letter: Diamond Foods, Inc.
• 2014-03-06SEC Division of Trading and Markets no-action letter: Lloyds Banking Group plc
• 2014-03-06SEC Guidance on Recording Broker-Dealer Expenses and Liabilities Under Financial Responsibility Rules
• 2014-03-04SEC Division of Investment Management staff letter: RS Global Natural Resources Fund
• 2014-03-04SEC Division of Trading and Markets no-action letter: Canadian Stock Transfer Company Inc.
• 2014-02-28SEC Division of Corporation Finance no-action letter: Endo Health Solutions, Inc.
• 2014-02-28Re-Opening of Comment Period for Asset-Backed Securities Release
• 2014-02-26SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association, Re: Certain Amendments to Rule 15c3-3
• 2014-02-26SEC Division of Trading and Markets no-action letter: Financial Industry Regulatory Authority, Re: Broker-Dealers Holding Cash in a Reserve Account at a Non-Affiliated U.S. Branch of a Foreign Bank under Rule 15c3-3
• 2014-02-25SEC Division of Corporation Finance no-action letter: Actavis, Inc.
• 2014-02-21SEC Division of Corporation Finance no-action letter: Credit Suisse Group AG
• 2014-02-18SEC Division of Corporation Finance no-action letter: iShares Enhanced International Small Cap ETF
• 2014-02-14SEC Division of Investment Management staff letter: MEAG MUNICH ERGO
• 2014-02-11Firsthand Technology Value Fund, Inc. - Exclusion of Stockholder Proposal Pursuant to Rule 14a-8
• 2014-02-10Order Extending Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection with the Revision of the Definition of "Security" to Encompass Security-Based Swaps, and Request for Comment
• 2014-02-10Extension of Exemptions for Security-Based Swaps
• 2014-02-07SEC Division of Corporation Finance no-action letter: Provident Community Bancshares, Inc.
• 2014-02-05Managed Funds Association Comments on the Knowledgeable Employee Definition
• 2014-02-03SEC Division of Investment Management staff letter: The Brink’s Company
• 2014-01-31Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
• 2014-01-31Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
• 2014-01-30SEC Division of Investment Management staff letter: First Trust Dividend and Income Fund
• 2014-01-29List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
• 2014-01-28SEC no-action letter: Schlumberger Limited preliminary proxy filing exemption
• 2014-01-27SEC Division of Investment Management staff letter: JP Morgan Municipal Money Market Fund
• 2014-01-23Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act
• 2014-01-23SEC Division of Investment Management staff letter: Stephanie Hibler
• 2014-01-16Rules of the Securities Investor Protection Corporation
• 2014-01-16Registration of Municipal Advisors; Temporary Stay of Final Rule
• 2014-01-08Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
• 2014-01-08Removal of Certain References to Credit Ratings Under the Investment Company Act
• 2014-01-07Securities and Exchange Commission Regulatory Flexibility Agenda
• 2014-01-07Nuclear Regulatory Commission Semiannual Regulatory Agenda
• 2014-01-07SEC Division of Corporation Finance no-action letter: First Trust Exchange-Traded Fund VI
• 2014-01-02SEC Division of Corporation Finance no-action letter: Nomura Holdings Inc.
• 2013-12-31SEC Division of Investment Management staff letter: The Mexico Fund, Inc.
• 2013-12-30Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans
• 2013-12-30SEC Division of Trading and Markets no-action letter: LCH.Clearnet SA
• 2013-12-26SEC Division of Investment Management staff letter: Chicago Mercantile Exchange
• 2013-12-26SEC Division of Corporation Finance no-action letter: Instinet LLC
• 2013-12-26SEC Division of Investment Management staff letter: ICE Clear Credit LLC