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Financial Markets › No-Action Letters › Regulatory Oversight

Seward & Kissel LLP

SEC No-Action Relief Clears Operational Hurdles for Broker-Dealers Handling ETFs with Foreign Holdings

Seward & Kissel LLP on

Who may be interested: Exchange-Traded Funds, Broker-Dealers, Registered Investment Companies, Registered Investment Advisers, Compliance Staff, Boards of Directors - Quick Take: The Securities and Exchange Commission (the...more

Carlton Fields

Fifth Circuit Breaks From No-Action Pack: Becomes Better Bet for Letter Recipients?

Carlton Fields on

On July 21, 2023, a three-judge panel of the Fifth Circuit Court of Appeals issued an opinion asserting that the Commodity Futures Trading Commission’s Division of Market Oversight likely acted arbitrarily and capriciously,...more

Orrick - Finance 20/20

CFTC Staff Provides Relief in Connection with Swap Trade Confirmations

Orrick - Finance 20/20 on

On March 14, the U.S. Commodity Futures Trading Commission’s Division of Market Oversight published a time-limited no-action letter that changed the deadline “for relief in connection with swap trade confirmation...more

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