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No Action Request Letter Securities and Exchange Commission Form
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People also ask
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What is a no action letter from the SEC?
Most no-action letters describe the request, analyze the particular facts and circumstances involved, discuss applicable laws and rules, and, if the staff grants the request for no action, concludes that the SEC staff would not recommend that the Commission take enforcement action against the requester based on the ... -
Are no-action letters withdrawn from the SEC marketing rule?
In the adopting release for the new Marketing Rule, the SEC stated that it would be withdrawing various No Action Letters (“NALs”) superseded by the new rule. In October, the Commission finally issued Information Update 2020-10 formally withdrawing those NALs. In total, 203 NALs are being either withdrawn or modified. -
What is the SEC new marketing rule?
0:23 20:14 Understanding the New SEC Marketing Rule - YouTube YouTube Start of suggested clip End of suggested clip And so you're right this is just a very brief overview. The rule itself is called the modernizingMoreAnd so you're right this is just a very brief overview. The rule itself is called the modernizing marketing rule for investment advisors. -
How do you cite a no-action letter?
Interpretive Letters, No-Action Letters, and Exemptive Letters: Cite a service (rule 19) or an electronic database (rule 18.3). Include the full name of the correspondent and the full date on which the letter became publicly available. -
What are the general prohibitions of the marketing rule?
Seven general prohibitions There are seven prohibitions under the rule that preclude an advertisement from: Including any untrue statements or omissions of material fact. Including any unsubstantiated material statement of fact. Including untrue or misleading implications or inferences. -
What is the marketing rule disqualification?
ing to the Marketing Rule, an ineligible person is someone who is subject to a disqualifying SEC action or is subject to any disqualifying event. A disqualifying SEC action means an SEC opinion or order barring, suspending, or prohibiting the person from acting in any capacity under Federal securities laws. -
What is a request that the SEC not take an enforcement action?
An individual or entity who is not certain whether a particular product, service, or action would constitute a violation of the federal securities law may request a "no-action" letter from the SEC staff. -
What is a no-action letter from the SEC?
Most no-action letters describe the request, analyze the particular facts and circumstances involved, discuss applicable laws and rules, and, if the staff grants the request for no action, concludes that the SEC staff would not recommend that the Commission take enforcement action against the requester based on the ...
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