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Division of Trading and Markets
Exemptive Orders and
Exemptive, Interpretive, and No-Action Letters
Important Note: This page contains Division of Trading and Markets no-action letters dated on or after January 1, 2002. Division of Trading and Markets no-action letters issued before that date may be obtained by submitting a request for a paper copy . Selected letters issued before January 1, 2002 may appear in other places on this website.
Procedures applicable to requests for no-action and interpretive letters are available in Securities Act Release No. 6269. You may call 202-551-5777 or send an email to tradingandmarkets@sec.gov with any questions about these procedures.
| Subject Categories for No-Action Letters |
- Associated Persons of Broker-Dealers (including Registration, Bars, Statutory Disqualification, and Rule 19h-1)
- "Bank" – Definition
- Broker-Dealer Books and Records and Reporting Requirements
- Broker-Dealer Net Capital Requirements - Rule 15c3-1
- Broker-Dealer Registration (including Form BD Interpretations, Withdrawal from Broker-Dealer Registration and Successors)
- Broker-Dealer Registration – Clerical and Ministerial Activities
- Broker-Dealer Registration – Exemptions from Registration
- Broker-Dealer Registration – Finders
- Broker-Dealer Registration – Foreign Broker-Dealers (including International Activities of U.S. Broker-Dealers and Rule 15a-6)
- Broker-Dealer Registration – Limited Broker-Dealer Functions
- Broker-Dealer Registration – Networking (Depository Institutions and Insurance Companies)
- Broker-Dealer Registration – Other
- Confirmations – Rule 10b-10
- Disclosure of Order Execution Information – Rule 605 (formerly Rule 11Ac1-5)
- Disclosure of Order Routing Information – Rule 606 (formerly Rule 11Ac1-6)
- Dissemination of Quotations – Rule 602 (formerly Rule 11Ac1-1)
- ECNs ("Electronic Communications Networks")
- Exchange Member Trading – Section 11(a)
- Extension of Credit on New Issues – Section 11(d)
- Foreign Market Communications with QIBs
- Keep and Preserve Paper Copies – Rule 17a-1
- Multiple Section Relief (e.g. exchange traded funds and other basket products)
- Municipal Auction Rate Securities
- Municipal Securities Brokers and Dealers
- Municipal Securities Disclosure – Rule 15c2-12
- National Market System Rules, Miscellaneous – Section 11A
- Penny Stock Rules
- Regulation SHO
- Risk Assessment Rules – Rules 17h-1T and 17h-2T
- Rule 10a-1, Short Sales
- Rule 12d2-2, Removal from Listing and Registration
- Rule 14e-5, Purchases Outside a Tender Offer
- Rule 15a-6, Foreign Broker-Dealers
- Rule 15c2-11, Initiation of Quotations
- Rule 101 of Regulation M, Activities By Distribution Participants
- Rule 102 of Regulation M, Activities By Issuers and Selling Security Holders During a Distribution
- Section 31 Fees
- Security Futures Products Brokers and Dealers
- Shad-Johnson Letters
- Transfer Agents
- Vendor Display Rule Interpretive Guidance
| List of No-Action Letters by Subject Category |
Associated Persons of Broker-Dealers (including Registration, Bars, Statutory Disqualification, and Rule 19h-1)
- Securities Industry and Financial Markets Association, November 20, 2008
- NASD, July 27, 2007
- NYSE Regulation, Inc., August 1, 2006
- New York Stock Exchange, Inc., February 11, 2005
"Bank" – Definition
Broker-Dealer Books and Records and Reporting Requirements
- Securities Industry and Financial Markets Association, January 10, 2008
- Securities Industry and Financial Markets Association, December 29, 2006
- Securities Industry Association, July 31, 2006
- Securities Industry Association, July 11, 2006
- New York Stock Exchange, Inc. and NASD Regulation, Inc., December 16, 2005
- Securities Industry Association, February 10, 2005
- Securities Industry Association, February 12, 2004
Broker-Dealer Net Capital Requirements – Rule 15c3-1
- Japan Credit Rating Agency, Ltd., May 23, 2007
- NASD Regulation, Inc., re: Net Capital Relief Related to Certain Transactions in the Securities of Gluv Corp., June 16, 2005
- A.M. Best Company, Inc., March 3, 2005
- Recording Certain Broker-Dealer Expenses and Liabilities, July 11, 2003
- Dominion Bond Rating Service Limited, February 24, 2003
Broker-Dealer Registration (including Form BD Interpretations, Withdrawal from Broker-Dealer Registration and Successors)
- Barclays Capital Inc., September 19, 2008
- JPMorgan Chase & Co., March 19, 2008
- Woodstock Financial Group, Inc., January 14, 2008
- Woodstock Financial Group, Inc., November 7, 2007
- NASD, Inc., September 30, 2005
Broker-Dealer Registration –
Clerical and Ministerial Activities
- ADP TotalSource, Inc., December 4, 2007
- eEmployers Solutions, Inc., December 3, 2007
- TriNet Group, Inc., February 17, 2006
- Headway Corporate Staff Administration, August 14, 2002
Broker-Dealer Registration – Exemptions from Registration
Broker-Dealer Registration – Finders
Broker-Dealer Registration – Foreign Broker-Dealers (including International Activities of U.S. Broker-Dealers and Rule 15a-6)
Broker-Dealer Registration –
Limited Broker-Dealer Functions
- Country Business, Inc., November 8, 2006
- EIG Mutual Holding Company, October 25, 2006
- Professional Project Services, Inc., June 22, 2006
- CommandTRADE, LP, December 28, 2005
- TEOCO Corporation, October 20, 2005
- R & H Management, L.L.C., April 25, 2005
- Texas Treasury Safekeeping Trust Company, June 16, 2004
- Investacorp Group, Inc., September 26, 2003
- Loffa Interactive Corp., Inc., September 12, 2003
- Scripophily.com, August 14, 2002
- Century Business Services, Inc. and CBIZ Financial Solutions, Inc., March 1, 2002
- OneShare.com, January 16, 2002
Broker-Dealer Registration – Networking
(Depository Institutions and Insurance Companies)
Broker-Dealer Registration – Other
- Capital Institutional Services, Inc., April 13, 2007
- Goldman, Sachs & Co., January 17, 2007
- Welton Street Investments, LLC, June 27, 2006
- Wolff Juall Investments, LLC, May 17, 2005
- Dilworth Capital Management, LLC, December 9, 2004
- Edward Mahaffy, March 6, 2003
- National Association of Securities Dealers Order Audit Trail Rules 6950 through 6957, July 25, 2002
- Swiss American Securities Inc. and Streetline, Inc., May 28, 2002
- Attkisson, Carter, & Akers, June 23, 1998
Confirmations – Rule 10b-10
- Boston Stock Exchange, December 23, 2008
- BATS Exchange, Inc., October 23, 2008
- Pershing LLC, September 10, 2008
- SS&C Technologies, Inc., August 13, 2008
- Omgeo LLC, March 12, 2008
- Bloomberg Tradebook LLC and Calyon Inc., December 31, 2007
- Chicago Stock Exchange, Inc., November 15, 2007
- SunGard Institutional Brokerage, Inc., July 3, 2007
- UBS Financial Services Inc., May 24, 2007
- Fixed Income Clearing Corporation, May 23, 2007
- Wachovia Securities, April 30, 2007
- FSC Securities Corporation, January 30, 2007
- Omgeo, LLC, December 14, 2006
- International Securities Exchange, LLC, December 7, 2006
- TD Ameritrade, Inc., November 30, 2006
- Philadelphia Stock Exchange, Inc., November 9, 2006
- Boston Stock Exchange, November 8, 2006
- National Stock Exchange, October 13, 2006
- International Securities Exchange, Inc. , August 18, 2006
- Wachovia Securities, August 15, 2006
- J.P. Morgan Securities Inc., August 4, 2005
- D.A. Davidson & Co., June 10, 2005
- William Blair & Company L.L.C., June 10, 2005
- Morgan Keegan & Co., Inc., April 20, 2005
- Sanford C. Bernstein & Co., LLC, April 18, 2005
- Average Price, Multiple Capacity Confirmations, March 3, 2005
- Nasdaq Stock Market, Inc., January 26, 2005
- The Equitable Life Assurance Society of the United States, October 20, 2004
- The Pacific Exchange, Inc., April 30, 2004
- Nasdaq Stock Market, Inc., September 15, 2003
- Goldman, Sachs & Co., August 14, 2003
- Edward D. Jones & Co., LP, August 1, 2003
- Trade Web, Jul 22, 2003
Disclosure of Order Execution Information – Rule 605 (formerly Rule 11Ac1-5)
- SelectNet and SuperMontage, June 4, 2002
- Nasdaq Stock Market, Inc., September 21, 2001
- NASD Small Firms Advisory Board, June 22, 2001
- New York Stock Exchange, Inc., June 22, 2001
- Nasdaq Stock Market, Inc., June 22, 2001
- Market Systems, Inc., June 22, 2001
- Securities Industry Association, April 12, 2001
- Securities Industry Association, March 12, 2001
- Nasdaq Stock Market, Inc., March 12, 2001
Disclosure of Order Routing Information – Rule 606 (formerly Rule 11Ac1-6)
Dissemination of Quotations – Rule 602 (formerly Rule 11Ac1-1)
ECNs ("Electronic Communications Networks")
- Bloomberg Tradebook LLC, June 28, 2006
- BATS Trading, Inc., June 28, 2006
- OnTrade, Inc., June 28, 2006
- Direct Edge ECN, June 28, 2006
- Track ECN, June 28, 2006
- BATS Trading, Inc., May 8, 2006
- Direct Edge ECN LLC, March 3, 2006
- BATS Trading, Inc., February 17, 2006
- OnTrade, Inc./NexTrade ECN: Withdrawal of No-Action Position, January 11, 2006
- OnTrade, Inc., January 11, 2006
- Track ECN, October 21, 2005
- Bloomberg Tradebook LLC, November 17, 2005
- Inet ATS, Inc., October 21, 2005
- Direct Edge ECN LLC Purchase of ATTAIN ECN, October 21, 2005
- Domestic Securities, Inc./ATTAIN ECN, October 21, 2005
- Attain System, October 7, 2005
- OnTrade, Inc., October 7, 2005
- BRUT System, January 6, 2005
- Trading System Operated by OnTrade, Inc., January 6, 2005
- Inet ECN, January 6, 2005
- Tradebook System, January 6, 2005
- Attain System, January 6, 2005
- Track System, January 6, 2005
- OnTrade, Inc., April 2, 2004
- Inet ECN, April 2, 2004
- Track ECN, April 1, 2004
- NexTrade, Inc., April 1, 2004
- BRUT System, April 1, 2004
- Attain Systems, April 1, 2004
- Bloomberg Tradebook, April 1, 2004
- The Island ECN, November 7, 2002
- Instinet Corporation, November 1, 2002
- GlobeNet Trading System, March 29, 2002
- Instinet Real-Time Trading Services, March 29, 2002
- Island System ECN, March 29, 2002
- MarketXT, March 29, 2002
- REDI System, March 29, 2002
- Track ECN, March 29, 2002
- BRUT ECN, LLC, February 1, 2002
Exchange Member Trading – Section 11(a)
- The Operating Committee of the Options Linkage Authority, May 30, 2003
- Chicago Board Options Exchange, March 31, 2003
- Large Order Utility System, March 12, 2003
- American Stock Exchange, July 9, 2002
- RAES System, May 16, 2002
- AUTOM System, April 15, 2002
Extension of Credit on New Issues – Section 11(d)
- Telstra Corporation Limited, October 5, 2006
- Doughty Hanson & Co Investments L.P. Incorporated, September 12, 2006
- Securities Industry Association, June 8, 2006
- streetTRACKS Gold Trust®, December 12, 2005
- iShares COMEX Gold Trust, December 12, 2005
- WEBS Index Series, November 22, 2005
- streetTRACKS Series Trust, November 22, 2005
- Select Sector SPDRs, November 22, 2005
- iShares, Inc. MSCI Index Funds, November 22, 2005
- Fresco Index Shares Funds, November 22, 2005
- Foreign Fund, Inc., November 22, 2005
- Securities Industry Association, November 21, 2005
- Spark Infrastructure Group, November 8, 2005
- Macquarie Media Holdings Limited and Macquarie Media Trust, September 27, 2005
- Popular High Grade Fixed-Income Fund, Inc., March 31, 2004
- Popular Total Return Fund, Inc., July 1, 2003
Foreign Market Communications with QIBs
- ASX Limted, August 13, 2007
- Tokyo Stock Exchange, Inc., November 20, 2006
- Eurex, May 3, 2006
- Eurex, July 27, 2005
- Borsa Italiana S.p.A., September 24, 2004
- EDX London Limited and OM London Exchange Limited, October 29, 2003
- Tokyo Stock Exchange, Inc., November 15, 2002
- ParisBourse SA, December 6, 1999
- Tokyo Stock Exchange, July 27, 1999
- Osaka Securities Exchange, July 23, 1999
- MONEP SA, October 26, 1998
- Mercato Italiano dei Derivati - IDEM Equity and Index Options, September 1, 1998
- Société de Compensation des Marchés Conditionnels, June 17, 1996
- London International Financial Futures and Options Exchange ("LIFFE"), March 6, 1996
- Hang Seng Index Options, September 26, 1995
- London International Financial Futures Exchange and London Traded Options Market, May 1, 1992
- London Traded Options Market, September 4, 1990
Keep and Preserve Paper Copies – Rule 17a-1
Multiple Section Relief
(e.g. exchange traded funds and other basket products)
- AirShares EU Carbon Allowances Fund and XShares Advisors LLC, November 10, 2008
- MACRO Securities Depositor, LLC, July 1, 2008
- Rydex ETF Trust, April 24, 2008
- PowerShares Actively Managed ETF Trust, April 4, 2008
- Bear Stearns Active ETF Trust, March 24, 2008
- Rydex ETF Trust, October 31, 2007
- Deutsche Bank AG (Exchange-traded Notes), October 12, 2007
- Ameristock ETF Trust, June 29, 2007
- Combination Exchange-traded Funds, June 27, 2007
- Class Relief for Fixed Income Exchange-Traded Funds, April 9, 2007
- HealthShares Composite Exchange-Traded Fund, March 8, 2007
- Chicago Board Options Exchange, Inc., February 23, 2007
- ProShares Trust, January 24, 2007
- iShares Lehman Short Treasury Bond Fund, iShares Lehman 3-7 Year Treasury Bond Fund, iShares Lehman 10-20 Year Treasury Bond Fund, iShares Lehman 1-3 Year Credit Bond Fund, iShares Lehman Intermediate Credit Bond Fund, iShares Lehman Credit Bond Fund, iShares Lehman Intermediate Government/Credit Bond Fund, iShares Lehman Government/Credit Bond Fund and iShares Lehman MBS Fixed-Rate Bond Fund, December 22, 2006
- MACRO Securities Depositor, LLC, December 22, 2006
- National Stock Exchange, November 28, 2006
- Class Relief for Exchange Traded Index Funds, October 24, 2006
- American Stock Exchange LLC, October 12, 2006
- iPath Securities — Exchange-Traded Notes, July 27, 2006
- ProShares Trust, June 20, 2006
- WisdomTree Trust, June 15, 2006
- iPath Securities — Index-Linked Securities, May 30, 2006
- DB Commodity Index Tracking Fund and DB Commodity Services LLC, January 19, 2006
- Euro Currency Trust, December 5, 2005
- PowerShares Lux Nanotech Portfolio, October 25, 2005
- iShares, August 4, 2005
- Vanguard Emerging Markets Stock Index Fund, Vanguard European Stock Index Fund and Vanguard Pacific Stock Index Fund, March 9, 2005
- PowerShares WilderHill Clean Energy Portfolio, March 2, 2005
- iShares FTSE/Xinhua China 25 Index Fund, October 8, 2004
- Nasdaq Stock Market, Inc., November 13, 2002
- Treasury FITR Exchange Traded Funds, November 1, 2002
- Fresco Index Shares Funds, October 21, 2002
- iShares Trust ("Trust"), iShares 1-3 Year Treasury Index Fund, iShares 7-10 Year Treasury Index Fund, iShares 20+ Year Treasury Index Fund, iShares Treasury Index Fund, iShares Government/Credit Index Fund, iShares Lehman Corporate Bond Fund, and iShares Goldman Sachs InvesTop Corporate Bond Fund, July 15, 2002
- Biotech Boxes, March 19, 2002
- Exemptive Relief for Exchange Traded Index Funds, August 17, 2001
Municipal Auction Rate Securities
Municipal Securities Brokers and Dealers
Municipal Securities Disclosure – Rule 15c2-12
Penny Stock Rules
National Market System Rules, Miscellaneous – Section 11A
- Philadelphia Stock Exchange, Inc., January 23, 2007
- Chicago Stock Exchange, Inc., March 16, 2006
- Philadelphia Stock Exchange, Inc., March 8, 2006
- Chicago Stock Exchange, Inc., August 23, 2005
- National Stock Exchange, August 23, 2005
- Chicago Stock Exchange, Inc., July 1, 2005
- Pacific Exchange, Inc., June 29, 2005
- National Stock Exchange, June 28, 2005
- Boston Stock Exchange, Inc., April 1, 2005
- Pacific Exchange, Inc., February 10, 2005
- Boston Stock Exchange, Inc., October 1, 2004
- Boston Stock Exchange, Inc., February 4, 2004
Regulation SHO
- American Stock Exchange LLC, July 2, 2007
- Securities Industry and Financial Markets Association, July 2, 2007
- Pacific Exchange, Inc., October 13, 2005
- Securities Industry Association, April 15, 2005
- Schiff Hardin LLP, January 3, 2005
- Securities Industry Association, January 3, 2005
Risk Assessment Rules – Rules 17h-1T and 17h-2T
Rule 10a-1, Short Sales
- Chicago Stock Exchange, Inc., July 20, 2006
- NASD, Inc., June 26, 2006
- CurrencyShares British Pound Sterling Trust, CurrencyShares Australian Dollar Trust, CurrencyShares Canadian Dollar Trust, CurrencyShares Mexican Peso Trust, CurrencyShares Swedish Krona Trust, and CurrencyShares Swiss Franc Trust, June 21, 2006
- Instinet Group, LLC, June 15, 2006
- Pacific Exchange, Inc., October 13, 2005
- Securities Industry Association, July 18, 2005
- Instinet Group, LLC, June 8, 2005
- ITG, Inc., April 22, 2005
- Instinet Group, LLC, June 8, 2004
- Harborside Securities, L.L.C., March 16, 2004
- Portfolio System for Institutional Trading, April 23, 2003
- Vie Institutional Services, February 12, 2003
Rule 12d2-2, Removal from Listing and Registration
Rule 14e-5, Purchases Outside a Tender Offer
- ShareGift USA, December 3, 2008
- Cash Tender Offer by International Business Machines Corporation for Ordinary Shares and ADSs of ILOG S.A., October 9, 2008
- Petersen Energía Inversora, S.A., September 9, 2008
- Loews Corporation, March 27, 2008
- Reuters Group PLC and Thomson Reuters PLC, February 29, 2008
- PT Media Nusantara Tbk, December 18, 2007
- SAP AG, December 5, 2007
- Royal Bank of Scotland Group plc, July 20, 2007
- Grupo Aeropotuario del Sureste, May 9, 2007
- Barclays/ABN AMRO, April 24, 2007
- CANTV, April 6, 2007
- Cleary Gottlieb Steen & Hamilton LLP, April 4, 2007
- Allianz SE, March 27, 2007
- STATS ChipPAC Ltd., March 15, 2007
- Sulzer AG, March 2, 2007
- Asia Satellite Communications Holdings Limited, March 1, 2007
- Exemptive Relief for Purchases Pursuant to Statutory Puts in Japanese Tender Offers, February 20, 2007
- Suzlon Energy Limited, February 9, 2007
- ProSiebenSat.1 Media AG, January 30, 2007
- Nippon Katan, January 26, 2007
- Areva S.A., January 22, 2007
- Hurriyet Invest, January 22, 2007
- Pfleiderer AG, January 12, 2007
- Offer by Crucell N.V. for Shares of Berna Biotech A.G., January 5, 2006
- CenterPoint Energy, December 21, 2006
- Heat Beteiligungs III GmbH, December 20, 2006
- Gallaher Group plc, December 15, 2006
- Companhia Sidenúrgica Nacional, December 1, 2006
- UCB SA, November 29, 2006
- Nasdaq Stock Market, Inc., November 20, 2006
- MEIF II, November 3, 2006
- Barrick Gold Corporation, October 10, 2006
- Gondola Holdings plc, October 2, 2006
- TPO Investments AS, September 18, 2006
- UBS AG, July 13, 2006
- PMI Group, Inc., July 6, 2006
- Associated British Ports Holdings plc, June 22, 2006
- Mittal Steel Company N.V, June 22, 2006
- Associated British Ports Holdings plc, June 8, 2006
- AstraZeneca PLC, May 23, 2006
- Investor AB, April 6, 2006
- Scottish Power plc, April 3, 2006
- Grupo Ferrovial, SA, March 23, 2006
- Gas Natural SDG, S.A., March 2, 2006
- Fresenius Medical Care AG, January 13, 2006
- Gas Natural SDG,, November 18, 2005
- Old Mutual PLC for Försäkringsaktiebolaget Skandia, October 26, 2005
- Macquarie Airports Copenhagen ApS for Kobenhavns Lufthavne A/S, October 24, 2005
- Profit Eagle Limited, October 11, 2005
- Axel Springer AG, September 12, 2005
- Skadden, Arps, Slate, Meagher & Flom (UK) LLP, August 5, 2005
- Compagnie de Saint-Gobain, July 29, 2005
- Barclays Bank PLC for Absa Group Limited, April 4, 2005
- Freshfields Bruckhaus Deringer, March 17, 2005
- Sullivan & Cromwell LLP, December 15, 2005
- United Technologies Corporation for Kidde plc, December 15, 2004
- GmbH for P & I Personal & Informatik Aktiengesellscaft, June 24, 2004
- UCB S.A., May 19, 2004
- SABMiller PLC, May 10, 2004
- Anheuser-Busch Companies, Inc., May 7, 2004
- Songbird Acquisition Limited, April 22, 2004
- BLB Investors, L.L.C., March 31, 2004
- Canary Wharf Group plc, February 9, 2004
- Banco Bilbao Vizcaya Argentaria, S.A. for Series B Shares and American Depository Shares of Grupo Financiero BBVA Bancomer, S.A. de C.V., February 2, 2004
- Matsushita Electric Works, Ltd., December 19, 2003
- Banyu Pharmaceutical Co. Ltd., September 11, 2003
- Rizzoli Corriere della Sera Medical Group S.p.A. for Fila Holding S.p.A.., July 28, 2003
- Twins Acquisition, Inc. Offer for IDS Group plc, June 25, 2003
- Serono France Holding S.A., May 14, 2003
- Vodafone Group Plc, March 3, 2003
- UBS AG, London Branch and J.P. Morgan Securities Limited, February 21, 2003
- Banyu Pharmaceutical Co. Ltd., January 9, 2003
- Offer by CIBER (UK) for ECsoft Group plc, January 8, 2003
- Bank of Ireland Abby National, October 16, 2002
- Pepsi Bottling Group, Inc., Bottling Group LLC and PBG Grupo Embotellador Hispano-Mexicano S.L., October 14, 2002
- Bank of Ireland Abby National, October 8, 2002
- Serono S.A. Offer for All Outstanding Ordinary Shares, ADSs, OCEANEs and Warrants of Genset, September 12, 2002
- Koninklijke Ahold N.V.'s Tender Offer for Shares and ADSs of Santa Isabel S.A., September 10, 2002
- DB Sechste Vermögensverwaltungsgesellschaft mbH for Stinnes AG, August 29, 2002
- Saipem SpA, July 29, 2002
- Kingfisher Plc Offer for Castorama Dubois Investissements SCA, June 4, 2002
- RWE Aktiengesellschaft, March 22, 2002
- Telex-Chile, S.A., March 5, 2002
Rule 15a-6, Foreign Broker-Dealers
Rule 15c2-11, Initiation of Quotations
Rule 101 of Regulation M,
Activities By Distribution Participants
- Key Hospitality Acquisition Corporation, October 12, 2005
- Banco Santander Central Hispano, S.A., September 10, 2004
- Republic of Panama, January 16, 2004
- Federative Republic of Brazil, January 12, 2004
- Allianz AG, April 10, 2003
- Republic of Colombia, December 2, 2002
- Votorantim Celulose e Papel S.A., June 18, 2002
Rule 102 of Regulation M,
Activities By Issuers and Selling Security Holders During a Distribution
- Lloyds TSB Group plc, October 21, 2008
- Royal Bank of Scotland Group plc and ABN AMRO Holding N.V., October 17, 2008
- Banco Santander, S.A., August 18, 2008
- Barclays PLC, June 16, 2008
- UBS AG, April 22, 2008
- Royal Bank of Scotland Group plc and ABN AMRO Holding N.V, April 21, 2008
- Toronto-Dominion Bank, December 21, 2007
- Class Relief for Real Estate Investment Trust Share Redemption Programs, October 22, 2007
- REITPlus, Inc., October 9, 2007
- ABN AMRO Holding N.V., , August 7, 2007
- Barclays PLC, August 7, 2007
- Barclays PLC, August 2, 2007
- Banco Santander Central Hispano, S.A., July 23, 2007
- Fortis SA/NV and Fortis NV, July 23, 2007
- Royal Bank of Scotland Group plc, July 23, 2007
- Banco Bilbao Vizcaya Argentaria, S.A, June 25, 2007
- Cole Credit Property Trust II, April 11, 2007
- Allianz SE, March 23, 2007
- UnumProvident Corporation, Inc., February 8, 2007
- Hines Real Estate Investment Trust, Inc., September 7, 2006
- NNN Healthcare/Office REIT, Inc., August 24, 2006
- Dividend Capital Total Realty Trust Inc., January 31, 2006
- United Development Funding III, LP, January 11, 2006
- Key Hospitality Acquisition Corporation, October 12, 2005
- Lend Lease Corporation Limited, October 15, 2004
- Paladin Realty Income Properties, Inc., October 14, 2004
- TECO Energy, Inc., October 8, 2004
- Hughes Supply, Inc., October 4, 2004
- Banco Santander Central Hispano, S.A., September 10, 2004
- Orange Hospitality, Inc., September 9, 2004
- CNL Retirement Properties, Inc., May 19, 2004
- Associated Grocers of Maine, Inc., May 6, 2004
- CNL Income Properties, Inc., March 11, 2004
- Wells Real Estate Investment Trust II, Inc., December 9, 2003
- ING Senior Income Fund, October 9, 2003
- Inland Western Retail Real Estate Trust, Inc., August 25, 2003
- Allianz AG, April 10, 2003
- ING Senior Income Fund, October 17, 2002
- Popular High Grade Fixed-Income Fund, September 10, 2002
Section 31 Fees
"Securities" – Other
Security Futures Products Brokers and Dealers
- National Futures Association, April 11, 2005
- National Futures Association, March 22, 2004
- Silver Young Trading LLC, June 25, 2003
- Notice Registration Requirements, March 5, 2002
- Securities Industry Association and Futures Industry Association, August 20, 2002
Shad-Johnson Letters
Transfer Agents
Vendor Display Rule Interpretive Guidance
- Class Relief for Real Estate Investment Trust Share Redemption Programs, October 22, 2007
- Combination Exchange-traded Funds, June 27, 2007
- Class Relief for Fixed Income Exchange-Traded Funds, April 9, 2007
- Cleary Gottlieb Steen & Hamilton LLP, April 4, 2007 (Financial Advisors)
- Sulzer AG, March 2, 2007 (Offerors)
- Exemptive Relief for Purchases Pursuant to Statutory Puts in Japanese Tender Offers, February 20, 2007
- Class Relief for Exchange Traded Index Funds, October 24, 2006 (Update of August 17, 2001, letter)
- Mittal Steel Company N.V, June 22, 2006 (Dual Offers)
- CurrencyShares British Pound Sterling Trust, CurrencyShares Australian Dollar Trust, CurrencyShares Canadian Dollar Trust, CurrencyShares Mexican Peso Trust, CurrencyShares Swedish Krona Trust, and CurrencyShares Swiss Franc Trust, June 21, 2006
- Exemptive Relief for Exchange Traded Index Funds, August 17, 2001
| Alphabetical List of No-Action Letters |
- ABN AMRO Holding N.V., , August 7, 2007
- ADP TotalSource, Inc., December 4, 2007
- AirShares EU Carbon Allowances Fund and XShares Advisors LLC, November 10, 2008
- Allianz SE, March 27, 2007
- Allianz SE, March 23, 2007
- Allianz AG, April 10, 2003
- A.M. Best Company, Inc., March 3, 2005
- American Stock Exchange, July 9, 2002
- American Stock Exchange LLC, July 2, 2007
- American Stock Exchange LLC, October 12, 2006
- Ameristock ETF Trust, June 29, 2007
- Anheuser-Busch Companies, Inc., May 7, 2004
- Areva S.A., January 22, 2007
- Asia Satellite Communications Holdings Limited, March 1, 2007
- Associated British Ports Holdings plc, June 22, 2006
- Associated British Ports Holdings plc, June 8, 2006
- Associated Grocers of Maine, Inc., May 6, 2004
- AstraZeneca PLC, May 23, 2006
- ASX Limted, August 13, 2007
- Attain System, October 7, 2005
- Attain System, January 6, 2005
- Attain Systems, April 1, 2004
- Attkisson, Carter, & Akers, June 23, 1998
- AUTOM System, April 15, 2002
- Average Price, Multiple Capacity Confirmations, March 3, 2005
- Axel Springer AG, September 12, 2005
- Banco Bilbao Vizcaya Argentaria, S.A, June 25, 2007
- Banco Bilbao Vizcaya Argentaria, S.A. for Series B Shares and American Depository Shares of Grupo Financiero BBVA Bancomer, S.A. de C.V., February 2, 2004
- Banco Santander Central Hispano, S.A., July 23, 2007
- Banco Santander Central Hispano, S.A., September 10, 2004
- Banco Santander, S.A., August 18, 2008
- Bank of Ireland Abby National, October 16, 2002
- Bank of Ireland Abby National, October 8, 2002
- Banyu Pharmaceutical Co. Ltd., January 9, 2003
- Banyu Pharmaceutical Co. Ltd., September 11, 2003
- Barclays/ABN AMRO, April 24, 2007
- Barclays Capital Inc., September 19, 2008
- Barclays PLC, June 16, 2008
- Barclays PLC, August 7, 2007
- Barclays PLC, August 2, 2007
- Barclays Bank PLC for Absa Group Limited, April 4, 2005
- Barrick Gold Corporation, October 10, 2006
- BATS Exchange, Inc., October 23, 2008
- BATS Trading, Inc., June 28, 2006
- BATS Trading, Inc., February 17, 2006
- BATS Trading, Inc., May 8, 2006
- Bear Stearns Active ETF Trust, March 24, 2008
- Bion Environmental Technologies, Inc., March 18, 2003
- Biotech Boxes, March 19, 2002
- BLB Investors, L.L.C., March 31, 2004
- Bloomberg Tradebook, April 1, 2004
- Bloomberg Tradebook LLC, June 28, 2006
- Bloomberg Tradebook LLC, November 17, 2005
- Bloomberg Tradebook LLC and Calyon Inc., December 31, 2007
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- Boston Stock Exchange, November 8, 2006
- Boston Stock Exchange, Inc., April 1, 2005
- Boston Stock Exchange, Inc., October 1, 2004
- Boston Stock Exchange, Inc., February 4, 2004
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- BRUT System, April 1, 2004
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- CANTV, April 6, 2007
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- Chicago Board Options Exchange, March 31, 2003
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- Chicago Stock Exchange, Inc., July 20, 2006
- Chicago Stock Exchange, Inc., March 16, 2006
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- DB Commodity Index Tracking Fund and DB Commodity Services LLC, January 19, 2006
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- Deutsche Bank AG (Exchange-traded Notes), October 12, 2007
- Digital Assurance Certification L.L.C., September 21, 2001
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- Direct Edge ECN LLC, March 3, 2006
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- Dominion Bond Rating Service Limited, February 24, 2003
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- Eurex, July 27, 2005
- Euro Currency Trust, December 5, 2005
- Exemptive Relief for Exchange Traded Index Funds, August 17, 2001
- Exemptive Relief for Purchases Pursuant to Statutory Puts in Japanese Tender Offers, February 20, 2007
- Federative Republic of Brazil, January 12, 2004
- First Union Securities, Inc., June 22, 2001
- Fixed Income Clearing Corporation, May 23, 2007
- Foreign Fund, Inc., November 22, 2005
- Fortis SA/NV and Fortis NV, July 23, 2007
- Fresco Index Shares Funds, November 22, 2005
- Fresco Index Shares Funds, October 21, 2002
- Freshfields Bruckhaus Deringer, March 17, 2005
- Fresenius Medical Care AG, January 13, 2006
- FSC Securities Corporation, January 30, 2007
- Gallaher Group plc, December 15, 2006
- Gas Natural SDG,, November 18, 2005
- Gas Natural SDG, S.A., March 2, 2006
- GlobeNet Trading System, March 29, 2002
- Goldman, Sachs & Co., August 14, 2003
- Goldman, Sachs & Co., January 17, 2007
- Gondola Holdings plc, October 2, 2006
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- Inet ECN, April 2, 2004
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- International Securities Exchange, Inc. , August 18, 2006
- International Securities Exchange, Inc., June 24, 2004
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- Instinet Group, LLC, June 8, 2004
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- Instinet Real-Time Trading Services, March 29, 2002
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- iPath Securities — Index-Linked Securities, May 30, 2006
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- iShares COMEX Gold Trust®, January 27, 2005
- iShares FTSE/Xinhua China 25 Index Fund, October 8, 2004
- iShares, Inc. MSCI Index Funds, November 22, 2005
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- iShares Trust ("Trust"), iShares 1-3 Year Treasury Index Fund, iShares 7-10 Year Treasury Index Fund, iShares 20+ Year Treasury Index Fund, iShares Treasury Index Fund, iShares Government/Credit Index Fund, iShares Lehman Corporate Bond Fund, and iShares Goldman Sachs InvesTop Corporate Bond Fund, July 15, 2002
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- Island System ECN, March 29, 2002
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- Japan Credit Rating Agency, Ltd., May 23, 2007
- JPMorgan Chase & Co., March 19, 2008
- J.P. Morgan Securities Inc., August 4, 2005
- Kentucky Public Emloyees' Deferred Compensation Authority, July 8, 2002
- Key Hospitality Acquisition Corporation, October 12, 2005
- Kingfisher Plc Offer for Castorama Dubois Investissements SCA, June 4, 2002
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- LiquidityHub Limited, November 28, 2007
- Lloyds TSB Group plc, October 21, 2008
- Loews Corporation, March 27, 2008
- Loffa Interactive Corp., Inc., September 12, 2003
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- London International Financial Futures and Options Exchange ("LIFFE"), March 3, 2000
- London International Financial Futures and Options Exchange ("LIFFE"), March 6, 1996
- London Traded Options Market, September 4, 1990
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- M Financial Holdings, Inc., May 8, 2006
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- MACRO Securities Depositor, LLC, December 22, 2006
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- Market Systems, Inc., June 22, 2001
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- Mercato Italiano dei Derivati - IDEM Equity and Index Options, September 1, 1998
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- Municipal Auction Rate Securities, March 14, 2008
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- NASD, Inc., June 26, 2006
- NASD, Inc., September 30, 2005
- NASD Regulation, Inc., September 10, 2004
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- NASDAQ Stock Market LLC, August 1, 2006
- Nasdaq Stock Market LLC/The Portal® Market, July 31, 2007
- National Association of Securities Dealers, Inc., July 28, 2006
- National Association of Securities Dealers Order Audit Trail Rules 6950 through 6957, July 25, 2002
- National Futures Association, April 11, 2005
- National Futures Association, March 22, 2004
- National Stock Exchange, November 28, 2006
- National Stock Exchange, June 28, 2005
- National Stock Exchange, August 23, 2005
- National Stock Exchange, October 13, 2006
- New York Stock Exchange, Inc., February 11, 2005
- New York Stock Exchange, Inc., June 22, 2001
- New York Stock Exchange, Inc. and NASD Regulation, Inc., December 16, 2005
- NYSE Regulation, Inc., August 1, 2006
- NexTrade, Inc., April 1, 2004
- Nippon Katan, January 26, 2007
- NNN Healthcare/Office REIT, Inc., August 24, 2006
- Notice Registration Requirements, March 5, 2002
- NYSE Arca, Inc., January 31, 2007
- NYSE Arca, Inc., December 8, 2006
- Offer by CIBER (UK) for ECsoft Group plc, January 8, 2003
- Offer by Crucell N.V. for Shares of Berna Biotech A.G., January 5, 2006
- Old Mutual PLC for Försäkringsaktiebolaget Skandia, October 26, 2005
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- OnTrade, Inc., April 2, 2004
- OnTrade, Inc./NexTrade ECN: Withdrawal of No-Action Position, January 11, 2006
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- Pacific Exchange, Inc., June 29, 2005
- Pacific Exchange, Inc., February 10, 2005
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- Pfleiderer AG, January 12, 2007
- Philadelphia Stock Exchange, Inc., January 23, 2007
- Philadelphia Stock Exchange, Inc., November 9, 2006
- Philadelphia Stock Exchange, Inc., March 8, 2006
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- Popular Total Return Fund, Inc., July 1, 2003
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- PowerShares Actively Managed ETF Trust, April 4, 2008
- PowerShares WilderHill Clean Energy Portfolio, March 2, 2005
- PowerShares Lux Nanotech Portfolio, October 25, 2005
- Professional Project Services, Inc., June 22, 2006
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- ProShares Trust, June 20, 2006
- ProSiebenSat.1 Media AG, January 30, 2007
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- R & H Management, L.L.C., April 25, 2005
- RAES System, May 16, 2002
- Recording Certain Broker-Dealer Expenses and Liabilities, July 11, 2003
- REDI System, March 29, 2002
- REITPlus, Inc., October 9, 2007
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- Republic of Panama, January 16, 2004
- Reuters Group PLC and Thomson Reuters PLC, February 29, 2008
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- Royal Bank of Scotland Group plc and ABN AMRO Holding N.V., October 17, 2008
- Royal Bank of Scotland Group plc, July 23, 2007
- Royal Bank of Scotland Group plc, July 20, 2007
- Royal Bank of Scotland Group plc and ABN AMRO Holding N.V, April 21, 2008
- RWE Aktiengesellschaft, March 22, 2002
- Rydex ETF Trust, April 24, 2008
- Rydex ETF Trust, October 31, 2007
- SABMiller PLC, May 10, 2004
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- San Diego Chapter of the National Association of Investors Corporation, May 14, 2004
- Sanford C. Bernstein & Co., LLC, April 18, 2005
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- Securities Industry and Financial Markets Association, January 10, 2008
- Securities Industry and Financial Markets Association, July 2, 2007
- Securities Industry and Financial Markets Association, December 29, 2006
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- Securities Industry Association, July 11, 2006
- Securities Industry Association, June 8, 2006
- Securities Industry Association, November 21, 2005
- Securities Industry Association, July 18, 2005
- Securities Industry Association, April 15, 2005
- Securities Industry Association, February 10, 2005
- Securities Industry Association, January 3, 2005
- Securities Industry Association, February 12, 2004
- Securities Industry Association, September 21, 2001
- Securities Industry Association, April 12, 2001
- Securities Industry Association, March 12, 2001
- Securities Industry Association, September 20, 1993; incoming letter
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- SelectNet and SuperMontage, June 4, 2002
- Select Sector SPDRs, November 22, 2005
- Serono France Holding S.A., May 14, 2003
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- streetTRACKS Series Trust, November 22, 2005
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