SEC no-action letters index and summaries.
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SEC no-action letters index and summaries.

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Published by CCH Washington Service Bureau in Washington, D.C .
Written in English



  • United States


  • Securities -- United States -- Cases -- Indexes,
  • Corporations -- Finance -- Law and legislation -- United States -- Cases -- Indexes

Book details:

Edition Notes

Other titlesNo-action letters index and summaries, Securities and Exchange no-action letters index and summaries, SEC no action letter weekly.
GenreCases, Indexes.
ContributionsWashington Service Bureau., United States. Securities and Exchange Commission.
LC ClassificationsKF1436.28 .S423
The Physical Object
Paginationv. (loose-leaf) ;
ID Numbers
Open LibraryOL3477752M
LC Control Number2005617520

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  Staff No Action, Interpretive and Exemptive Letters. Division of Corporation Finance. Division of Investment Management. Division of Trading and Markets. SEC no-action letters index and summaries (OCoLC) Material Type: Periodical: Document Type: Journal / Magazine / Newspaper: All Authors / Contributors: Washington Service Bureau. ISSN: OCLC Number: Description: volumes ; 28 cm: Other Titles: SEC no-action letters index and summaries. And lots of lawyers, and outside advisors are publishing guidance of their own, on how best to cope with this sudden raising of the bar when it comes to getting a no-action letter. But the real problem, in our book, is with the misguided SEC guidance. Sure, there are some cases where there may be “a difficult judgment call” as SEC staff noted. Request letters may be sent to the following email address: [email protected] For assistance in preparing a request for a no-action, interpretive or exemptive letter, please refer to the General Information section below. You may call or send an email to [email protected] with any questions about preparing a request letter.

Posted in Bob's Upticks, No-action letters, Proxy access, Shareholder proposals Something shocking happened at the SEC yesterday. SEC Chair Mary Jo White directed the SEC Staff to review its long-standing position on when a shareholder proposal conflicts with a company proposal and may be excluded from the proxy statement. No-action letters, SEC, R, R(a) Nonconsecutive pages, citation of, R(a) Nonconsecutive sections, citation of, R(b) Nonperiodic materials (see Books and pamphlets) North Carolina. citation rules and style guides, BT.2 sources of law, R, T North Dakota. citation rules and style guides, BT.2 sources of law, T Northern Ireland. SEC Staff No-Action Letter, Pretzel & Stouffer Pub. Avail. December 1, SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. December 1, RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT MANAGEMENT. Ms. Christine E. Leone Pretzel & Stouffer One South Wacker Drive Suite Chicago, IL Dear Ms. Leone. In your letter dated J , you request advice that, based on the circumstances stated in your letter, the Division ofTrading and Markets ("Division") will not recommend enforcement action to the Securities and Exchange Commission ("Commission") against: (1) NYSE Euronext, Euronext N.V. ("Euronext"), LIFFE Administration and.

SEC No-Action Letters Index and Summaries. Knowledge Base; Search; Search. My Corner. My Profile; My Account; My Favorite Products; My Cases; Product Support. CCH Axcess; CCH ProSystem fx Tax; Publishing and Books; Sales and Use Tax; Research . When the SEC staff issues a no-action letter, it usually confirms in the letter that it will not recommend that the SEC take enforcement action relating to the issuer's proposed activities as long as the specific facts and circumstances presented by the issuer do not change. CUSTOMER PROTECTION – RESERVES AND CUSTODY OF SECURITIES no action letter would have to be requested of the SEC on a case by case basis. (SEC Letter to Arnhold & S. Bleichroeder, Inc., J ) (No. , May ) SEA Rule 15c(a)(1)/   No-action letters are inquiries sent by individuals or entities requesting that the SEC staff not recommend an enforcement action in the event specified conduct occurs. No-action letters are useful for research purposes because they are very fact-specific and provide a good indication of how the SEC will view conduct.