Securities and Exchange Commission

4,841 documents, newest first — showing 1,601–1,800.

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• 2013-12-26SEC Division of Investment Management staff letter: LCH.Clearnet Limited and LCH.Clearnet LLC
• 2013-12-23SEC Division of Trading and Markets no-action letter: Committee of Annuity Insurers
• 2013-12-17SEC Division of Corporation Finance no-action letter: Perrigo Company, Perrigo Company Limited and Elan Corporation plc
• 2013-12-12SEC Division of Corporation Finance no-action letter: Bank of America Corporation
• 2013-12-04SEC Division of Corporation Finance no-action letter: Fifth Third Bancorp
• 2013-11-26SEC Division of Investment Management staff letter: RBS Securities, Inc.
• 2013-11-26SEC Division of Corporation Finance no-action letter: The Royal Bank of Scotland Group plc
• 2013-11-25SEC Division of Investment Management staff letter: ABA Retirement Funds
• 2013-11-25SEC Division of Corporation Finance no-action letter: RBS Securities Inc.
• 2013-11-14SEC Division of Trading and Markets no-action letter: Computershare Investor Services (Jersey) Limited and Computershare Trust Company, N.A.
• 2013-11-07SEC Division of Investment Management staff letter: Main Street Capital Corporation
• 2013-11-07SEC Division of Trading and Markets no-action letter: Barclays PLC
• 2013-11-07SEC Division of Corporation Finance no-action letter: The Allied Defense Group, Inc.
• 2013-11-05Securities Investor Protection Corporation: Proposed Rule Change to Amend Rule 400
• 2013-11-05Securities and Exchange Commission Proposed Rules on Crowdfunding
• 2013-11-05SEC Division of Investment Management staff letter: Robert Van Grover, Esq., Seward & Kissel LLP
• 2013-11-01SEC Division of Investment Management staff letter: New Mountain Finance Corporation
• 2013-10-30SEC Division of Corporation Finance no-action letter: Willbros Group, Inc.
• 2013-10-14SEC Division of Corporation Finance no-action letter: Maxygen, Inc.
• 2013-10-03Amendments to Regulation D, Form D and Rule 156; Re-Opening of Comment Period
• 2013-10-02Adoption of Updated EDGAR Filer Manual
• 2013-10-01SEC Proposed Rule on Pay Ratio Disclosure
• 2013-09-30SEC Trading and Markets FAQ: Broker-Dealer Liability of Compliance and Legal Personnel Under Sections 15(b)(4) and 15(b)(6) of Exchange Act
• 2013-09-30Extension of Temporary Registration of Municipal Advisors
• 2013-09-30SEC Division of Corporation Finance no-action letter: Actavis, Inc.
• 2013-09-27SEC Division of Investment Management staff letter: MCG Capital Corporation
• 2013-09-27SEC Division of Trading and Markets no-action letter: LCH.Clearnet SA
• 2013-09-20Credit Risk Retention
• 2013-09-20SEC Division of Corporation Finance no-action letter: BGS Acquisition Corp.
• 2013-09-19SEC Division of Corporation Finance no-action letter: UBS AG
• 2013-09-16SEC Division of Trading and Markets no-action letter: Lloyds Banking Group plc
• 2013-09-09SEC Division of Corporation Finance no-action letter: Blue Cross and Blue Shield of Florida, Inc.
• 2013-09-06SEC Division of Trading and Markets no-action letter: FINRA, CBOE and C2
• 2013-09-04SEC Division of Corporation Finance no-action letter: Oak Ridge Financial Services, Inc.
• 2013-09-04SEC Division of Corporation Finance no-action letter: Sirius XM Radio Inc.
• 2013-09-04SEC Division of Corporation Finance no-action letter: Certain Canadian Issuers
• 2013-09-03SEC Division of Trading and Markets no-action letter: NYSE Arca, Inc.
• 2013-08-23SEC Division of Corporation Finance no-action letter: American Equity Investment Life Holding Company
• 2013-08-21Financial Responsibility Rules for Broker-Dealers
• 2013-08-09SEC Division of Corporation Finance no-action letter: CIL&D, LLC, f/k/a Kaiser Ventures LLC
• 2013-08-06SEC Division of Corporation Finance no-action letter: UBS AG
• 2013-08-02SEC Division of Investment Management staff letter: Copley Fund, Inc.
• 2013-07-31SEC Division of Corporation Finance no-action letter: A.R. Schmeidler & Co.
• 2013-07-31SEC Division of Trading and Markets no-action letter: Barclays PLC
• 2013-07-31Adoption of Updated EDGAR Filer Manual
• 2013-07-30SEC Division of Trading and Markets no-action letter: Carolina Capital Markets, Inc.
• 2013-07-24Amendments to Regulation D, Form D and Rule 156
• 2013-07-23Securities and Exchange Commission Regulatory Flexibility Agenda
• 2013-07-18Rescission of Supervised Investment Bank Holding Company Rules
• 2013-07-16Retail Foreign Exchange Transactions
• 2013-07-16Staff Observations Regarding Disclosures of Non-Traded Real Estate Investment Trusts
• 2013-07-15SEC Division of Investment Management staff letter: Wells Fargo Bank, N.A.
• 2013-07-10SEC Division of Investment Management staff letter: Chicago Mercantile Exchange
• 2013-07-09SEC Division of Investment Management staff letter: BlackRock Multi-Sector Income Trust
• 2013-07-09SEC Division of Corporation Finance no-action letter: AdvisorShares Trust
• 2013-07-03SEC Division of Corporation Finance no-action letter: SSgA Active ETF Trust
• 2013-07-03Malta Stock Exchange plc application for designation as a Designated Offshore Securities Market
• 2013-07-03SEC Division of Corporation Finance no-action letter: Bank of Montreal
• 2013-07-02SEC Division of Corporation Finance no-action letter: Starburst II, Inc. and Sprint Nextel Corporation
• 2013-07-01SEC Division of Trading and Markets no-action letter: LIFFE A&M and Class Relief
• 2013-06-26SEC Division of Investment Management staff letter: Nuveen, et al.
• 2013-06-26SEC Division of Investment Management staff letter: Credit Suisse High Yield Bond Fund and Credit Suisse Asset Management Income Fund, Inc.
• 2013-06-26SEC Division of Investment Management staff letter: John Hancock Investors Trust and John Hancock Tax-Advantaged Global Shareholder Yield Fund
• 2013-06-26SEC Division of Investment Management staff letter: NexPoint Credit Strategies Fund
• 2013-06-26SEC Division of Investment Management staff letter: Eaton Vance, et al.
• 2013-06-26SEC Division of Investment Management staff letter: First Trust, et al.
• 2013-06-26SEC Division of Investment Management staff letter: Aberdeen Asia-Pacific Income Fund, Inc.
• 2013-06-25SEC Division of Corporation Finance no-action letter: American Crystal Sugar Company
• 2013-06-20SEC Division of Investment Management staff letter: Morgan Stanley Mortgage Securities Trust
• 2013-06-19Money Market Fund Reform; Amendments to Form PF
• 2013-06-18SEC Division of Corporation Finance no-action letter: Oak Leaf B.V.
• 2013-06-18SEC Division of Investment Management staff letter: Copley Fund, Inc.
• 2013-06-17SEC Division of Investment Management staff letter: Goldman, Sachs & Co.
• 2013-06-13SEC Division of Corporation Finance no-action letter: Frederick County Bancorp, Inc
• 2013-05-31SEC Division of Corporation Finance no-action letter: The Bank of Nova Scotia
• 2013-05-28SEC Division of Trading and Markets no-action letter: Roland Berger Strategy Consultants
• 2013-05-23Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
• 2013-05-23Regulation Systems Compliance and Integrity
• 2013-05-23Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
• 2013-05-23SEC Division of Investment Management staff letter: Request for Consideration of the Steve Tamari Shareholder Proposal (College Retirement Equities Fund)
• 2013-05-22SEC Division of Corporation Finance no-action letter: Pfizer Inc.
• 2013-05-21SEC Division of Corporation Finance no-action letter: Pfizer Inc.
• 2013-05-21Adoption of Updated EDGAR Filer Manual
• 2013-05-21SEC Division of Corporation Finance no-action letter: D.E. Master Blenders 1753 N.V
• 2013-05-10SEC Division of Investment Management staff letter: Sandra M. Fox Shareholder Proposal (College Retirement Equities Fund)
• 2013-05-01SEC Division of Corporation Finance no-action letter: Elan Corporation, plc
• 2013-04-30SEC Division of Corporation Finance no-action letter: NBCUniversal
• 2013-04-29SEC Division of Corporation Finance no-action letter: LIN TV Corp.
• 2013-04-23SEC Division of Trading and Markets no-action letter: Committee of Annuity Insurers, Securities Industry and Financial Markets Association, and American Council of Life Insurers
• 2013-04-19Identity Theft Red Flags Rules
• 2013-04-16SEC Division of Corporation Finance no-action letter: iShares Enhanced U.S. Small Cap ETF
• 2013-04-16SEC Division of Corporation Finance no-action letter: Blue Wolf Mongolia Holdings Corp.
• 2013-04-09Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies
• 2013-04-05SEC Division of Investment Management staff letter: Copley Fund, Inc.
• 2013-03-29SEC Division of Corporation Finance no-action letter: FSP Phoenix Tower Corp. Liquidating Trust
• 2013-03-29SEC Division of Corporation Finance no-action letter: Deutsche Bank Trust Company Americas
• 2013-03-28SEC Division of Corporation Finance no-action letter: Prime Acquisition Corp.
• 2013-03-28SEC Division of Trading and Markets no-action letter: AngelList LLC
• 2013-03-27SEC Division of Investment Management staff letter: lNG Investments, LLC, Directed Services LLC, and lNG Investment Management Co. LLC
• 2013-03-27SEC Division of Corporation Finance no-action letter: Genworth Financial, Inc.
• 2013-03-26SEC Division of Corporation Finance no-action letter: ICON Income Fund Nine Liquidating Trust
• 2013-03-26SEC Division of Corporation Finance no-action letter: Oppenheimer Holdings, Inc.
• 2013-03-26SEC Division of Trading and Markets no-action letter: FundersClub Inc. and FundersClub Management LLC
• 2013-03-25SEC Division of Corporation Finance no-action letter: Behringer Harvard Short-Term Opportunity Liquidating Trust
• 2013-03-25Regulation Systems Compliance and Integrity
• 2013-03-20SEC Division of Corporation Finance no-action letter: Croghan Bancshares, Inc.
• 2013-03-19SEC Division of Corporation Finance no-action letter: Environmental Tectonics Corporation
• 2013-03-18SEC Division of Trading and Markets no-action letter: Packerland Brokerage Services
• 2013-03-14SEC no-action letter: Coca-Cola Hellenic Bottling Company S.A. and Coca-Cola HBC AG exchange offer
• 2013-03-11SEC Division of Corporation Finance no-action letter: Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC
• 2013-03-07SEC Division of Corporation Finance no-action letter: Aurizon Mines Ltd.
• 2013-03-05Adjustments to Civil Monetary Penalty Amounts
• 2013-03-04SEC Division of Trading and Markets no-action letter: Canadian Stock Transfer Company Inc.
• 2013-02-28SEC Division of Trading and Markets no-action letter: International Power Group
• 2013-02-28SEC Division of Corporation Finance no-action letter: RingsEnd Partners, LLC/EBIC Program
• 2013-02-27SEC Division of Investment Management staff letter: Emerging Global Advisors, LLC and EGA Emerging Global Shares Trust
• 2013-02-22SEC Trading and Markets FAQ: Rule 605 of Regulation NMS
• 2013-02-22SEC Division of Corporation Finance no-action letter: Summit Materials, LLC
• 2013-02-20SEC Division of Corporation Finance no-action letter: FMS Wertmanagement and the Federal Republic of Germany
• 2013-02-15SEC Division of Corporation Finance no-action letter: The Options Clearing Corporation
• 2013-02-15SEC Division of Trading and Markets no-action letter: The NASDAQ Stock Market LLC
• 2013-02-14SEC Division of Corporation Finance no-action letter: HCC Risk Solutions Company
• 2013-02-11SEC Division of Corporation Finance no-action letter: CNO Financial Group, Inc.
• 2013-02-05SEC Trading and Markets FAQ: Broker-Dealer Registration Exemption
• 2013-02-04Extension of Exemptions for Security-Based Swaps
• 2013-01-30Fidelity Select Portfolios: Omission of Shareholder Proposals from Proxy Statement
• 2013-01-29SEC Division of Trading and Markets no-action letter: NetRoadshow, Inc.
• 2013-01-29SEC Division of Corporation Finance no-action letter: iSecuretrac Corp.
• 2013-01-24SEC Division of Corporation Finance no-action letter: Birmingham Bloomfield Bancshares, Inc.
• 2013-01-23SEC Division of Corporation Finance no-action letter: Davis Polk & Wardwell LLP
• 2013-01-23Adoption of Updated EDGAR Filer Manual
• 2013-01-23Lost Securityholders and Unresponsive Payees
• 2013-01-22Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
• 2013-01-17SEC Division of Corporation Finance no-action letter: Northern Illinois Gas Company
• 2013-01-11SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
• 2013-01-09SEC Division of Investment Management staff letter: J.P. Morgan Securities LLC
• 2013-01-08SEC Division of Corporation Finance no-action letter: JPMorgan Chase & Co.
• 2013-01-08Securities and Exchange Commission Regulatory Flexibility Agenda
• 2013-01-08Nuclear Regulatory Commission Semiannual Regulatory Agenda
• 2013-01-08SEC Division of Corporation Finance no-action letter: J.P. Morgan Securities LLC, et al.
• 2013-01-04SEC Division of Corporation Finance no-action letter: RREEF Property Trust, Inc.
• 2012-12-31Temporary Rule Regarding Principal Trades With Certain Advisory Clients
• 2012-12-21SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
• 2012-12-21SEC Division of Corporation Finance no-action letter: PPG Industries, Inc.
• 2012-12-18Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ALPS ETF Trust
• 2012-12-18Extension of Dates for Certain Requirements and Amendment of Form 19b-4
• 2012-12-14SEC Division of Trading and Markets no-action letter: Financial Information Forum
• 2012-12-14Order Granting Limited Exemptions from Exchange Act Rules 101 and 102 of Regulation M to Shares of JPM XF Physical Copper Trust
• 2012-12-11SEC Division of Corporation Finance no-action letter: Mid-Wisconsin Financial Services, Inc.
• 2012-12-10SEC Division of Trading and Markets no-action letter: Nomura Securities International Inc.
• 2012-12-10Extension of Dates for Certain Requirements and Amendment of Form 19b-4
• 2012-12-10SEC Division of Trading and Markets no-action letter: Financial Industry Regulatory Authority, Inc.
• 2012-12-06SEC Staff Letter on Derivatives Use by Actively-Managed ETFs
• 2012-12-04List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
• 2012-12-03Order Granting Approval to Proposed Rule Change, as Modified by Amendment No. 2, To Adopt a Retail Price Improvement Program
• 2012-12-03Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers; Correction
• 2012-11-30Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
• 2012-11-29SEC Division of Trading and Markets no-action letter: Options Clearing Corporation
• 2012-11-27SEC Division of Trading and Markets no-action letter: BATS Y-Exchange, Inc.
• 2012-11-26SEC Division of Corporation Finance no-action letter: Minnesota Soybean Processors
• 2012-11-23Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
• 2012-11-23Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
• 2012-11-20SEC Division of Corporation Finance no-action letter: Amil Participações S.A.
• 2012-11-20SEC Division of Corporation Finance no-action letter: Tower Group, Inc.
• 2012-11-20SEC Division of Corporation Finance no-action letter: Alarion Financial Services, Inc.
• 2012-11-16SEC Division of Corporation Finance no-action letter: Credit Suisse AG
• 2012-11-14SEC Division of Corporation Finance no-action letter: Chai-Na-Ta Corp
• 2012-11-12SEC Division of Corporation Finance no-action letter: SSgA Active ETF Trust
• 2012-11-08SEC Division of Corporation Finance no-action letter: Eaton Corporation
• 2012-11-02Clearing Agency Standards
• 2012-10-26SEC Division of Corporation Finance no-action letter: RadView Software Ltd.
• 2012-10-24SEC Division of Investment Management staff letter: TACT Asset Management Inc.
• 2012-10-16SEC Staff Legal Bulletin: SLB 14G
• 2012-10-15Adoption of Updated EDGAR Filer Manual
• 2012-10-12Temporary Rule Regarding Principal Trades With Certain Advisory Clients
• 2012-10-11SEC Division of Corporation Finance no-action letter: Jones Lang LaSalle Income Property Trust, Inc.
• 2012-10-10SEC Division of Investment Management staff letter: Erste Abwicklungsanstalt
• 2012-09-27SEC Division of Investment Management staff letter: Chicago Mercantile Exchange
• 2012-09-27SEC Division of Investment Management staff letter: Chicago Mercantile Exchange
• 2012-09-27SEC Division of Investment Management staff letter: ICE Clear Credit LLC
• 2012-09-27SEC Division of Investment Management staff letter: LCH.Clearnet Limited
• 2012-09-26Extension of Temporary Registration of Municipal Advisors
• 2012-09-25SEC Division of Investment Management staff letter: Hatteras Alternative Mutual Funds Trust, et al.
• 2012-09-24SEC Division of Corporation Finance no-action letter: Britton & Koontz Capital Corporation
• 2012-09-24SEC Division of Corporation Finance no-action letter: North State Bancorp
• 2012-09-21SEC Division of Investment Management staff letter: Wells Fargo Bank, N.A.
• 2012-09-20SEC Division of Corporation Finance no-action letter: Pentair, Inc.
• 2012-09-18SEC Division of Corporation Finance no-action letter: First Citizens Bancshares, Inc.
• 2012-09-12Disclosure of Payments by Resource Extraction Issuers
• 2012-09-10SEC no-action letter: J.P. Turner & Company, LLC and William L. Mello waiver request
• 2012-09-10SEC Division of Investment Management staff letter: J.P. Turner & Company, L.L.C., et al
• 2012-09-07Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to iShares, Inc. and iShares MSCI Frontier 100 Index Fund
• 2012-09-06Adoption of Updated EDGAR Filer Manual
• 2012-09-05Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
• 2012-08-31SEC Division of Investment Management staff letter: Investment Company Institute
• 2012-08-30SEC Division of Investment Management staff letter: Linn Energy, LLC
• 2012-08-29SEC Division of Investment Management staff letter: ING Life Insurance and Annuity Company
• 2012-08-23SEC Division of Trading and Markets no-action letter: Charles Schwab, Inc.
• 2012-08-22SEC Trading and Markets FAQ: Research Analysts and Underwriters
• 2012-08-20Extension of Interim Final Temporary Rule on Retail Foreign Exchange Transactions; Correction