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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 Customer Protection Rule - Rule 15c3-3
- 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
- Regulation T
- 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)
- Financial Industry Regulatory Authority, Inc., March 17, 2009
- 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
- Financial Industry Regulatory Authority, September 1, 2009
- Omgeo, March 19, 2009
- 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 Customer Protection Rule - Rule 15c3-3
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
- Legg Mason Investor Services, LLC, April 7, 2009
- 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
- LIFFE Administration and Management, July 29, 2009
- 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)
- PIMCO ETF Trust, June 1, 2009
- Grail Advisors ETF Trust, May 6, 2009
- Index IQ ETF Trust, March 25, 2009
- PowerShares Actively Managed Exchange-Traded Fund Trust, February 26, 2009
- WisdomTree Trust Dreyfus Emerging Currency Fund, January 7, 2009
- Direxion Shares ETF Trust, December 15, 2008
- PowerShares Actively Managed Exchange-Traded Fund Trust, November 14, 2008
- AirShares EU Carbon Allowances Fund and XShares Advisors LLC, November 10, 2008
- Direxion Shares ETF Trust, October 30, 2008
- MACRO Securities Depositor, LLC, July 1, 2008
- WisdomTree Trust, May 9, 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
- HealthShares Emerging Cancer Exchange-Traded Fund and HealthShares Cardio Devices Exchange-Traded Fund, January 22, 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
- WisdomTree Trust, October 12, 2006
- iPath Securities — Exchange-Traded Notes, July 27, 2006
- Commodity-based Investment Vehicles Class Letter, June 21, 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
- Bloomberg L.P., June 10, 2009
- DPC Data Inc., June 10, 2009
- Interactive Data Corporation, June 10, 2009
- Standard & Poor's Securities Evaluations, Inc., June 10, 2009
- Digital Assurance Certification L.L.C., September 21, 2001
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
Regulation T
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
- MS&Co. OTC Swap Transactions Referencing a Merger Arbitrage Index, December 1, 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
- Shinhan Financial Group Co., Ltd., March 5, 2009
- 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
- FS Investment Corporation, April 20, 2009
- Lloyds Banking Group plc, April 20, 2009
- Shinhan Financial Group Co., Ltd., March 5, 2009
- Banco Santander, S.A., November 7, 2008
- 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)
- Commodity-based Investment Vehicles Class Letter, 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., November 7, 2008
- 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 L.P., June 10, 2009
- 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
- Borsa Italiana S.p.A., September 24, 2004
- Boston Stock Exchange, December 23, 2008
- 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
- BRUT System, January 6, 2005
- BRUT System, April 1, 2004
- BRUT ECN, LLC, February 1, 2002
- Canary Wharf Group plc, February 9, 2004
- CANTV, April 6, 2007
- Capital Institutional Services, Inc., April 13, 2007
- CenterPoint Energy, December 21, 2006
- Century Business Services, Inc. and CBIZ Financial Solutions, Inc., March 1, 2002
- Chicago Board Options Exchange, Inc., February 23, 2007
- Chicago Board Options Exchange, Inc., July 12, 2004
- Chicago Board Options Exchange, March 31, 2003
- Chicago Stock Exchange, Inc., November 15, 2007
- Chicago Stock Exchange, Inc., July 20, 2006
- Chicago Stock Exchange, Inc., March 16, 2006
- Chicago Stock Exchange, Inc., August 23, 2005
- Chicago Stock Exchange, Inc., July 1, 2005
- Chicago Stock Exchange, Inc., October 6, 2004
- Clark Street Capital, Inc., August 20, 2003
- Class Relief for Exchange Traded Index Funds, October 24, 2006
- Class Relief for Fixed Income Exchange-Traded Funds, April 9, 2007
- Class Relief for Real Estate Investment Trust Share Redemption Programs, October 22, 2007
- Cleary Gottlieb Steen & Hamilton LLP, April 4, 2007
- Cleary, Gottlieb, Steen and Hamilton, March 24, 1997
- CNL Retirement Properties, Inc., May 19, 2004
- CNL Income Properties, Inc., March 11, 2004
- Cole Credit Property Trust II, April 11, 2007
- Combination Exchange-traded Funds, June 27, 2007
- CommandTRADE, LP, December 28, 2005
- Compagnie de Saint-Gobain, July 29, 2005
- Companhia Sidenúrgica Nacional, December 1, 2006
- Country Business, Inc., November 8, 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
- D.A. Davidson & Co., June 10, 2005
- DB Commodity Index Tracking Fund and DB Commodity Services LLC, January 19, 2006
- DB Sechste Vermögensverwaltungsgesellschaft mbH for Stinnes AG, August 29, 2002
- Deutsche Bank AG (Exchange-traded Notes), October 12, 2007
- Digital Assurance Certification L.L.C., September 21, 2001
- Dilworth Capital Management, LLC, December 9, 2004
- Dinosaur Securities, LLC, June 23, 2006
- Direct Edge ECN, June 28, 2006
- Direct Edge ECN LLC, March 3, 2006
- Direct Edge ECN LLC Purchase of ATTAIN ECN, October 21, 2005
- Direxion Shares ETF Trust, December 15, 2008
- Direxion Shares ETF Trust, October 30, 2008
- Dividend Capital Total Realty Trust Inc., January 31, 2006
- Domestic Securities, Inc./ATTAIN ECN, October 21, 2005
- Dominion Bond Rating Service Limited, February 24, 2003
- Doughty Hanson & Co Investments L.P. Incorporated, September 12, 2006
- DPC Data Inc., June 10, 2009
- Edward D. Jones & Co., LP, August 1, 2003
- EDX London Limited and OM London Exchange Limited, October 29, 2003
- eEmployers Solutions, Inc., December 3, 2007
- EIG Mutual Holding Company, October 25, 2006
- The Equitable Life Assurance Society of the United States, October 20, 2004
- Eurex, May 3, 2006
- 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
- Federal Reserve Board New York, August 21, 2009
- Federative Republic of Brazil, January 12, 2004
- Financial Industry Regulatory Authority, September 1, 2009
- Financial Industry Regulatory Authority, Inc., March 17, 2009
- 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
- FS Investment Corporation, April 20, 2009
- 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
- GmbH for P & I Personal & Informatik Aktiengesellscaft, June 24, 2004
- Grail Advisors ETF Trust, May 6, 2009
- Grupo Aeropotuario del Sureste, May 9, 2007
- Grupo Ferrovial, SA, March 23, 2006
- Hallmark Capital Corporation, June 11, 2007
- Hang Seng Index Options, September 26, 1995
- Harborside Securities, L.L.C., March 16, 2004
- Headway Corporate Staff Administration, August 14, 2002
- HealthShares Composite Exchange-Traded Fund, March 8, 2007
- HealthShares Emerging Cancer Exchange-Traded Fund and HealthShares Cardio Devices Exchange-Traded Fund, January 22, 2007
- Heat Beteiligungs III GmbH, December 20, 2006
- Herbruck, Alder & Co., May 3, 2002
- Hines Real Estate Investment Trust, Inc., September 7, 2006
- Hughes Supply, Inc., October 4, 2004
- Hurriyet Invest, January 22, 2007
- Index IQ ETF Trust, March 25, 2009
- ING Senior Income Fund, October 9, 2003
- ING Senior Income Fund, October 17, 2002
- Inet ATS, Inc., October 21, 2005
- Inet ECN, January 6, 2005
- Inet ECN, April 2, 2004
- Inland Western Retail Real Estate Trust, Inc., August 25, 2003
- Instinet Group, LLC, June 8, 2005
- Cash Tender Offer by International Business Machines Corporation for Ordinary Shares and ADSs of ILOG S.A., October 9, 2008
- International Securities Exchange, LLC, December 7, 2006
- International Securities Exchange, Inc. , August 18, 2006
- International Securities Exchange, Inc., June 24, 2004
- Instinet Group, LLC, June 15, 2006
- Instinet Group, LLC, June 8, 2005
- Instinet Group, LLC, June 8, 2004
- Instinet Corporation, November 1, 2002
- Instinet Real-Time Trading Services, March 29, 2002
- Interactive Data Corporation, June 10, 2009
- Investacorp Group, Inc., September 26, 2003
- Investor AB, April 6, 2006
- iPath Securities — Exchange-Traded Notes, July 27, 2006
- iPath Securities — Index-Linked Securities, May 30, 2006
- iShares, August 4, 2005
- iShares COMEX Gold Trust, December 12, 2005
- 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
- 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
- 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
- The Island ECN, November 7, 2002
- Island System ECN, March 29, 2002
- ITG, Inc., April 22, 2005
- Japan Credit Rating Agency, Ltd., May 23, 2007
- JPMorgan Chase & Co., March 19, 2008
- J.P. Morgan Securities Inc., August 4, 2005
- Kentucky Public Employees' Deferred Compensation Authority, July 8, 2002
- Key Hospitality Acquisition Corporation, October 12, 2005
- Kingfisher Plc Offer for Castorama Dubois Investissements SCA, June 4, 2002
- Koninklijke Ahold N.V.'s Tender Offer for Shares and ADSs of Santa Isabel S.A., September 10, 2002
- Large Order Utility System, March 12, 2003
- Legg Mason Investor Services, LLC, April 7, 2009
- Lend Lease Corporation Limited, October 15, 2004
- LIFFE Administration and Management, July 29, 2009
- Lincoln National Life Insurance Company, August 22, 2003
- LiquidityHub Limited, November 28, 2007
- Lloyds Banking Group plc, April 20, 2009
- Lloyds TSB Group plc, October 21, 2008
- Loews Corporation, March 27, 2008
- Loffa Interactive Corp., Inc., September 12, 2003
- London International Financial Futures Exchange and London Traded Options Market, May 1, 1992
- 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
- John W. Loofbourrow Associates, Inc., June 29, 2006
- M Financial Holdings, Inc., May 8, 2006
- Macquarie Airports Copenhagen ApS for Kobenhavns Lufthavne A/S, October 24, 2005
- Macquarie Media Holdings Limited and Macquarie Media Trust, September 27, 2005
- MACRO Securities Depositor, LLC, July 1, 2008
- MACRO Securities Depositor, LLC, December 22, 2006
- Mahaffy, Edward, March 6, 2003
- Maine Credit Unions, April 9, 2002
- Market Systems, Inc., June 22, 2001
- Market XT, August 8, 2002
- Market XT, March 29, 2002
- MEIF II, November 3, 2006
- Mercato Italiano dei Derivati - IDEM Equity and Index Options, September 1, 1998
- Mittal Steel Company N.V, June 22, 2006
- MONEP SA, October 26, 1998
- Morgan Keegan & Co., Inc., April 20, 2005
- Morgan Stanley and Citigroup Inc., May 12, 2009
- MS&Co. OTC Swap Transactions Referencing a Merger Arbitrage Index, December 1, 2008
- Municipal Auction Rate Securities, March 14, 2008
- NASD, July 27, 2007
- NASD, Inc., June 26, 2006
- NASD, Inc., September 30, 2005
- NASD Regulation, Inc., September 10, 2004
- NASD Regulation, Inc., December 1, 1998
- NASD Regulation, Inc., re: Net Capital Relief Related to Certain Transactions in the Securities of Gluv Corp., June 16, 2005
- NASD Small Firm Advisory Board, September 21, 2001
- NASD Small Firms Advisory Board, June 22, 2001
- Nasdaq Stock Market, Inc., November 20, 2006
- Nasdaq Stock Market, Inc., January 26, 2005
- Nasdaq Stock Market, Inc., September 15, 2003
- Nasdaq Stock Market, Inc., November 13, 2002
- Nasdaq Stock Market, Inc., July 23, 2002
- Nasdaq Stock Market, Inc., September 21, 2001
- Nasdaq Stock Market, Inc., June 22, 2001
- Nasdaq Stock Market, Inc., March 12, 2001
- 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
- Omgeo, March 19, 2009
- Omgeo LLC, March 12, 2008
- Omgeo, LLC, December 14, 2006
- OneShare.com, January 16, 2002
- OnTrade, Inc., June 28, 2006
- OnTrade, Inc., January 11, 2006
- OnTrade, Inc., October 7, 2005
- OnTrade, Inc., April 2, 2004
- OnTrade, Inc./NexTrade ECN: Withdrawal of No-Action Position, January 11, 2006
- Orange Hospitality, Inc., September 9, 2004
- The Operating Committee of the Options Linkage Authority, May 30, 2003
- Osaka Securities Exchange, July 23, 1999
- Pacific Exchange, Inc., October 13, 2005
- Pacific Exchange, Inc., June 29, 2005
- Pacific Exchange, Inc., February 10, 2005
- Paladin Realty Income Properties, Inc., October 14, 2004
- The Pacific Exchange, Inc., April 30, 2004
- Pepsi Bottling Group, Inc., Bottling Group LLC and PBG Grupo Embotellador Hispano-Mexicano S.L., October 14, 2002
- Pershing LLC, September 10, 2008
- Petersen Energía Inversora, S.A., September 9, 2008
- 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
- PIMCO ETF Trust, June 1, 2009
- PMI Group, Inc., July 6, 2006
- Popular High Grade Fixed-Income Fund, Inc., March 31, 2004
- Popular High Grade Fixed-Income Fund, September 10, 2002
- Popular Total Return Fund, Inc., July 1, 2003
- Portfolio System for Institutional Trading, April 23, 2003
- PowerShares Actively Managed ETF Trust, April 4, 2008
- PowerShares Actively Managed Exchange-Traded Fund Trust, February 26, 2009
- PowerShares Actively Managed Exchange-Traded Fund Trust, November 14, 2008
- PowerShares WilderHill Clean Energy Portfolio, March 2, 2005
- PowerShares Lux Nanotech Portfolio, October 25, 2005
- Professional Project Services, Inc., June 22, 2006
- Profit Eagle Limited, October 11, 2005
- ProShares Trust, January 24, 2007
- ProShares Trust, June 20, 2006
- ProSiebenSat.1 Media AG, January 30, 2007
- PT Media Nusantara Tbk, December 18, 2007
- 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
- Republic of Colombia, December 2, 2002
- Republic of Panama, January 16, 2004
- Reuters Group PLC and Thomson Reuters PLC, February 29, 2008
- Rizzoli Corriere della Sera Medical Group S.p.A. for Fila Holding S.p.A.., July 28, 2003
- 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
- Saipem SpA, July 29, 2002
- San Diego Chapter of the National Association of Investors Corporation, May 14, 2004
- Sanford C. Bernstein & Co., LLC, June 9, 2009
- Sanford C. Bernstein & Co., LLC, April 18, 2005
- SAP AG, December 5, 2007
- Schiff Hardin LLP, January 3, 2005
- Scottish Power plc, April 3, 2006
- Scripophily.com, August 14, 2002
- Securities Industry and Financial Markets Association, November 20, 2008
- 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
- Securities Industry Association, July 31, 2006
- 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
- Securities Industry Association and Futures Industry Association: No-Action Letter dated August 20, 2002
- SelectNet and SuperMontage, June 4, 2002
- Select Sector SPDRs, November 22, 2005
- Serono France Holding S.A., May 14, 2003
- Serono S.A. Offer for All Outstanding Ordinary Shares, ADSs, OCEANEs and Warrants of Genset, September 12, 2002
- ShareGift USA, December 3, 2008
- Shinhan Financial Group Co., Ltd., March 5, 2009
- Skadden, Arps, Slate, Meagher & Flom (UK) LLP, August 5, 2005
- Silver Young Trading LLC, June 25, 2003
- Société de Compensation des Marchés Conditionnels, June 17, 1996
- Songbird Acquisition Limited, April 22, 2004
- Spark Infrastructure Group, November 8, 2005
- SS&C Technologies, Inc., August 13, 2008
- Standard & Poor's Securities Evaluations, Inc., June 10, 2009
- The State of Oregon, October 4, 2005
- STATS ChipPAC Ltd., March 15, 2007
- streetTRACKS Gold Trust®, December 12, 2005
- streetTRACKS Gold Trust®, November 17, 2004
- streetTRACKS Series Trust, November 22, 2005
- Sullivan & Cromwell LLP, December 15, 2005
- Sulzer AG, March 2, 2007
- SunGard Institutional Brokerage, Inc., July 3, 2007
- Suzlon Energy Limited, February 9, 2007
- Swiss American Securities Inc. and Streetline, Inc., May 28, 2002
- TD Ameritrade, Inc., November 30, 2006
- TECO Energy, Inc., October 8, 2004
- TEOCO Corporation, October 20, 2005
- Telex-Chile, S.A., March 5, 2002
- Telstra Corporation Limited, October 5, 2006
- Texas Treasury Safekeeping Trust Company, June 16, 2004
- TIAA-CREF, May 2, 2008
- Tokyo Stock Exchange, Inc., November 20, 2006
- Tokyo Stock Exchange, Inc., November 15, 2002
- Tokyo Stock Exchange, July 27, 1999
- Toronto-Dominion Bank, December 21, 2007
- TPO Investments AS, September 18, 2006
- Trade Web, July 22, 2003
- Tradebook System, January 6, 2005
- Treasury FITR Exchange Traded Funds, November 1, 2002
- TriNet Group, Inc., February 17, 2006
- Track ECN, June 28, 2006
- Track ECN, October 21, 2005
- Track ECN, March 29, 2002
- Track ECN, April 1, 2004
- Track System, January 6, 2005
- Trading System Operated by OnTrade, Inc., January 6, 2005
- Twins Acquisition, Inc. Offer for IDS Group plc, June 25, 2003
- UBS AG, April 22, 2008
- UBS AG, July 13, 2006
- UBS AG, London Branch and J.P. Morgan Securities Limited, February 21, 2003
- UBS Financial Services Inc., May 24, 2007
- UCB SA, November 29, 2006
- UCB S.A., May 19, 2004
- United Development Funding III, LP, January 11, 2006
- United Technologies Corporation for Kidde plc, December 15, 2004
- UnumProvident Corporation, Inc., February 8, 2007
- Vanguard Emerging Markets Stock Index Fund, Vanguard European Stock Index Fund and Vanguard Pacific Stock Index Fund, March 9, 2005
- Vie Institutional Services, February 12, 2003
- Vodafone Group Plc, March 3, 2003
- Votorantim Celulose e Papel S.A., June 18, 2002
- Wachovia Securities, April 30, 2007
- Wachovia Securities, August 15, 2006
- WEBS Index Series, November 22, 2005
- Wells Fargo Bank, N.A., July 29, 2004
- Wells Real Estate Investment Trust II, Inc., December 9, 2003
- Welton Street Investments, LLC, June 27, 2006
- William Blair & Company L.L.C., June 10, 2005
- WisdomTree Trust, May 9, 2008
- WisdomTree Trust, October 12, 2006
- WisdomTree Trust, June 15, 2006
- WisdomTree Trust Dreyfus Emerging Currency Fund, January 7, 2009
- Wolff Juall Investments, LLC, May 17, 2005
- Woodstock Financial Group, Inc., January 14, 2008
- Woodstock Financial Group, Inc., November 7, 2007
| Chronological List of No-Action Letters |
- Financial Industry Regulatory Authority, September 1, 2009
- Federal Reserve Board New York, August 21, 2009
- LIFFE Administration and Management, July 29, 2009
- Bloomberg L.P., June 10, 2009
- DPC Data Inc., June 10, 2009
- Interactive Data Corporation, June 10, 2009
- Standard & Poor's Securities Evaluations, Inc., June 10, 2009
- Sanford C. Bernstein & Co., LLC, June 9, 2009
- PIMCO ETF Trust, June 1, 2009
- Morgan Stanley and Citigroup Inc., May 12, 2009
- Grail Advisors ETF Trust, May 6, 2009
- FS Investment Corporation, April 20, 2009
- Lloyds Banking Group plc, April 20, 2009
- Legg Mason Investor Services, LLC, April 7, 2009
- Index IQ ETF Trust, March 25, 2009
- Omgeo, March 19, 2009
- Financial Industry Regulatory Authority, Inc., March 17, 2009
- Shinhan Financial Group Co., Ltd., March 5, 2009
- PowerShares Actively Managed Exchange-Traded Fund Trust, February 26, 2009
- WisdomTree Trust Dreyfus Emerging Currency Fund, January 7, 2009
- Boston Stock Exchange, December 23, 2008
- Direxion Shares ETF Trust, December 15, 2008
- ShareGift USA, December 3, 2008
- MS&Co. OTC Swap Transactions Referencing a Merger Arbitrage Index, December 1, 2008
- Securities Industry and Financial Markets Association, November 20, 2008
- PowerShares Actively Managed Exchange-Traded Fund Trust, November 14, 2008
- AirShares EU Carbon Allowances Fund and XShares Advisors LLC, November 10, 2008
- Banco Santander, S.A., November 7, 2008
- Direxion Shares ETF Trust, October 30, 2008
- BATS Exchange, Inc., October 23, 2008
- Lloyds TSB Group plc, October 21, 2008
- Royal Bank of Scotland Group plc and ABN AMRO Holding N.V., October 17, 2008
- Cash Tender Offer by International Business Machines Corporation for Ordinary Shares and ADSs of ILOG S.A., October 9, 2008
- Barclays Capital Inc., September 19, 2008
- Pershing LLC, September 10, 2008
- Petersen Energía Inversora, S.A., September 9, 2008
- Banco Santander, S.A., August 18, 2008
- SS&C Technologies, Inc., August 13, 2008
- MACRO Securities Depositor, LLC, July 1, 2008
- Barclays PLC, June 16, 2008
- WisdomTree Trust, May 9, 2008
- TIAA-CREF, May 2, 2008
- Rydex ETF Trust, April 24, 2008
- UBS AG, April 22, 2008
- Royal Bank of Scotland Group plc and ABN AMRO Holding N.V, April 21, 2008
- PowerShares Actively Managed ETF Trust, April 4, 2008
- Loews Corporation, March 27, 2008
- Bear Stearns Active ETF Trust, March 24, 2008
- JPMorgan Chase & Co., March 19, 2008
- Municipal Auction Rate Securities, March 14, 2008
- Omgeo LLC, March 12, 2008
- Reuters Group PLC and Thomson Reuters PLC, February 29, 2008
- Woodstock Financial Group, Inc., January 14, 2008
- Securities Industry and Financial Markets Association, January 10, 2008
- Bloomberg Tradebook LLC and Calyon Inc., December 31, 2007
- Toronto-Dominion Bank, December 21, 2007
- PT Media Nusantara Tbk, December 18, 2007
- SAP AG, December 5, 2007
- ADP TotalSource, Inc., December 4, 2007
- eEmployers Solutions, Inc., December 3, 2007
- LiquidityHub Limited, November 28, 2007
- Chicago Stock Exchange, Inc., November 15, 2007
- Woodstock Financial Group, Inc., November 7, 2007
- Rydex ETF Trust, October 31, 2007
- Class Relief for Real Estate Investment Trust Share Redemption Programs, October 22, 2007
- Deutsche Bank AG (Exchange-traded Notes), October 12, 2007
- REITPlus, Inc., October 9, 2007
- ASX Limted, August 13, 2007
- ABN AMRO Holding N.V., , August 7, 2007
- Barclays PLC, August 7, 2007
- Barclays PLC, August 2, 2007
- NASD, July 27, 2007
- Nasdaq Stock Market LLC/The Portal� Market, July 31, 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
- Royal Bank of Scotland Group plc, July 20, 2007
- SunGard Institutional Brokerage, Inc., July 3, 2007
- American Stock Exchange LLC, July 2, 2007
- Securities Industry and Financial Markets Association, July 2, 2007
- Ameristock ETF Trust, June 29, 2007
- Combination Exchange-traded Funds, June 27, 2007
- Banco Bilbao Vizcaya Argentaria, S.A, June 25, 2007
- Hallmark Capital Corporation, June 11, 2007
- UBS Financial Services Inc., May 24, 2007
- Fixed Income Clearing Corporation, May 23, 2007
- Japan Credit Rating Agency, Ltd., May 23, 2007
- Grupo Aeropotuario del Sureste, May 9, 2007
- Wachovia Securities, April 30, 2007
- Barclays/ABN AMRO, April 24, 2007
- Capital Institutional Services, Inc., April 13, 2007
- Cole Credit Property Trust II, April 11, 2007
- Class Relief for Fixed Income Exchange-Traded Funds, April 9, 2007
- CANTV, April 6, 2007
- Cleary Gottlieb Steen & Hamilton LLP, April 4, 2007
- Allianz SE, March 27, 2007
- Allianz SE, March 23, 2007
- STATS ChipPAC Ltd., March 15, 2007
- HealthShares Composite Exchange-Traded Fund, March 8, 2007
- Sulzer AG, March 2, 2007
- Asia Satellite Communications Holdings Limited, March 1, 2007
- Chicago Board Options Exchange, Inc., February 23, 2007
- Exemptive Relief for Purchases Pursuant to Statutory Puts in Japanese Tender Offers, February 20, 2007
- Suzlon Energy Limited, February 9, 2007
- UnumProvident Corporation, Inc., February 8, 2007
- NYSE Arca, Inc., January 31, 2007
- FSC Securities Corporation, January 30, 2007
- ProSiebenSat.1 Media AG, January 30, 2007
- Nippon Katan, January 26, 2007
- ProShares Trust, January 24, 2007
- Philadelphia Stock Exchange, Inc., January 23, 2007
- Areva S.A., January 22, 2007
- HealthShares Emerging Cancer Exchange-Traded Fund and HealthShares Cardio Devices Exchange-Traded Fund, January 22, 2007
- Hurriyet Invest, January 22, 2007
- Goldman, Sachs & Co., January 17, 2007
- Pfleiderer AG, January 12, 2007
- Securities Industry and Financial Markets Association, December 29, 2006
- 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
- CenterPoint Energy, December 21, 2006
- Heat Beteiligungs III GmbH, December 20, 2006
- Gallaher Group plc, December 15, 2006
- Omgeo, LLC, December 14, 2006
- NYSE Arca, Inc., December 8, 2006
- International Securities Exchange, LLC, December 7, 2006
- Companhia Sidenúrgica Nacional, December 1, 2006
- TD Ameritrade, Inc., November 30, 2006
- UCB SA, November 29, 2006
- National Stock Exchange, November 28, 2006
- Nasdaq Stock Market, Inc., November 20, 2006
- Tokyo Stock Exchange, Inc., November 20, 2006
- Philadelphia Stock Exchange, Inc., November 9, 2006
- Boston Stock Exchange, November 8, 2006
- Country Business, Inc., November 8, 2006
- MEIF II, November 3, 2006
- EIG Mutual Holding Company, October 25, 2006
- Class Relief for Exchange Traded Index Funds, October 24, 2006
- National Stock Exchange, October 13, 2006
- American Stock Exchange LLC, October 12, 2006
- WisdomTree Trust, October 12, 2006
- Barrick Gold Corporation, October 10, 2006
- Telstra Corporation Limited, October 5, 2006
- Gondola Holdings plc, October 2, 2006
- TPO Investments AS, September 18, 2006
- Doughty Hanson & Co Investments L.P. Incorporated, September 12, 2006
- Hines Real Estate Investment Trust, Inc., September 7, 2006
- NNN Healthcare/Office REIT, Inc., August 24, 2006
- International Securities Exchange, Inc. , August 18, 2006
- Wachovia Securities, August 15, 2006
- NYSE Regulation, Inc., August 1, 2006
- NASDAQ Stock Market LLC, August 1, 2006
- Securities Industry Association, July 31, 2006
- National Association of Securities Dealers, Inc., July 28, 2006
- iPath Securities — Exchange-Traded Notes, July 27, 2006
- Chicago Stock Exchange, Inc., July 20, 2006
- UBS AG, July 13, 2006
- Securities Industry Association, July 11, 2006
- PMI Group, Inc., July 6, 2006
- John W. Loofbourrow Associates, Inc., June 29, 2006
- 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
- Welton Street Investments, LLC, June 27, 2006
- NASD, Inc., June 26, 2006
- Dinosaur Securities, LLC, June 23, 2006
- Associated British Ports Holdings plc, June 22, 2006
- Mittal Steel Company N.V, June 22, 2006
- Professional Project Services, Inc., June 22, 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
- ProShares Trust, June 20, 2006
- Instinet Group, LLC, June 15, 2006
- WisdomTree Trust, June 15, 2006
- Associated British Ports Holdings plc, June 8, 2006
- Securities Industry Association, June 8, 2006
- iPath Securities — Index-Linked Securities, May 30, 2006
- AstraZeneca PLC, May 23, 2006
- M Financial Holdings, Inc., May 8, 2006
- BATS Trading, Inc., May 8, 2006
- Eurex, May 3, 2006
- Investor AB, April 6, 2006
- Scottish Power plc, April 3, 2006
- Grupo Ferrovial, SA, March 23, 2006
- Chicago Stock Exchange, Inc., March 16, 2006
- Philadelphia Stock Exchange, Inc., March 8, 2006
- Direct Edge ECN LLC, March 3, 2006
- Gas Natural SDG, S.A., March 2, 2006
- TriNet Group, Inc., February 17, 2006
- BATS Trading, Inc., February 17, 2006
- Dividend Capital Total Realty Trust Inc., January 31, 2006
- DB Commodity Index Tracking Fund and DB Commodity Services LLC, January 19, 2006
- Fresenius Medical Care AG, January 13, 2006
- OnTrade, Inc./NexTrade ECN: Withdrawal of No-Action Position, January 11, 2006
- OnTrade, Inc., January 11, 2006
- United Development Funding III, LP, January 11, 2006
- Offer by Crucell N.V. for Shares of Berna Biotech A.G., January 5, 2006
- CommandTRADE, LP, December 28, 2005
- New York Stock Exchange, Inc. and NASD Regulation, Inc., December 16, 2005
- streetTRACKS Gold Trust®, December 12, 2005
- iShares COMEX Gold Trust, December 12, 2005
- Euro Currency Trust, December 5, 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
- Foreign Fund, Inc., November 22, 2005
- Fresco Index Shares Funds, November 22, 2005
- Securities Industry Association, November 21, 2005
- Gas Natural SDG,, November 18, 2005
- Bloomberg Tradebook LLC, November 17, 2005
- Spark Infrastructure Group, November 8, 2005
- Old Mutual PLC for Försäkringsaktiebolaget Skandia, October 26, 2005
- PowerShares Lux Nanotech Portfolio, October 25, 2005
- Macquarie Airports Copenhagen ApS for Kobenhavns Lufthavne A/S, October 24, 2005
- Track ECN, October 21, 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
- TEOCO Corporation, October 20, 2005
- Pacific Exchange, Inc., October 13, 2005
- Key Hospitality Acquisition Corporation, October 12, 2005
- Profit Eagle Limited, October 11, 2005
- Attain System, October 7, 2005
- OnTrade, Inc., October 7, 2005
- The State of Oregon, October 4, 2005
- NASD, Inc., September 30, 2005
- Macquarie Media Holdings Limited and Macquarie Media Trust, September 27, 2005
- Axel Springer AG, September 12, 2005
- Chicago Stock Exchange, Inc., August 23, 2005
- National Stock Exchange, August 23, 2005
- Skadden, Arps, Slate, Meagher & Flom (UK) LLP, August 5, 2005
- iShares, August 4, 2005
- J.P. Morgan Securities Inc., August 4, 2005
- Compagnie de Saint-Gobain, July 29, 2005
- Eurex, July 27, 2005
- Securities Industry Association, July 18, 2005
- Chicago Stock Exchange, Inc., July 1, 2005
- Pacific Exchange, Inc., June 29, 2005
- National Stock Exchange, June 28, 2005
- NASD Regulation, Inc., re: Net Capital Relief Related to Certain Transactions in the Securities of Gluv Corp., June 16, 2005
- D.A. Davidson & Co., June 10, 2005
- William Blair & Company L.L.C., June 10, 2005
- Wolff Juall Investments, LLC, May 17, 2005
- R & H Management, L.L.C., April 25, 2005
- ITG, Inc., April 22, 2005
- Morgan Keegan & Co., Inc., April 20, 2005
- Sanford C. Bernstein & Co., LLC, April 18, 2005
- Securities Industry Association, April 15, 2005
- National Futures Association, April 11, 2005
- Barclays Bank PLC for Absa Group Limited, April 4, 2005
- Boston Stock Exchange, Inc., April 1, 2005
- Freshfields Bruckhaus Deringer, March 17, 2005
- Vanguard Emerging Markets Stock Index Fund, Vanguard European Stock Index Fund and Vanguard Pacific Stock Index Fund, March 9, 2005
- A.M. Best Company, Inc., March 3, 2005
- Average Price, Multiple Capacity Confirmations, March 3, 2005
- PowerShares WilderHill Clean Energy Portfolio, March 2, 2005
- New York Stock Exchange, Inc., February 11, 2005
- Pacific Exchange, Inc., February 10, 2005
- Securities Industry Association, February 10, 2005
- iShares COMEX Gold Trust®, January 27, 2005
- Nasdaq Stock Market, Inc., January 26, 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
- Sullivan & Cromwell LLP, December 15, 2005
- Schiff Hardin LLP, January 3, 2005
- Securities Industry Association, January 3, 2005
- United Technologies Corporation for Kidde plc, December 15, 2004
- Dilworth Capital Management, LLC, December 9, 2004
- streetTRACKS Gold Trust®, November 17, 2004
- The Equitable Life Assurance Society of the United States, October 20, 2004
- Lend Lease Corporation Limited, October 15, 2004
- Paladin Realty Income Properties, Inc., October 14, 2004
- TECO Energy, Inc., October 8, 2004
- iShares FTSE/Xinhua China 25 Index Fund, October 8, 2004
- Chicago Stock Exchange, Inc., October 6, 2004
- Hughes Supply, Inc., October 4, 2004
- Boston Stock Exchange, Inc., October 1, 2004
- Borsa Italiana S.p.A., September 24, 2004
- NASD Regulation, Inc., September 10, 2004
- Banco Santander Central Hispano, S.A., September 10, 2004
- Orange Hospitality, Inc., September 9, 2004
- Wells Fargo Bank, N.A., July 29, 2004
- Chicago Board Options Exchange, Inc., July 12, 2004
- International Securities Exchange, Inc., June 24, 2004
- Texas Treasury Safekeeping Trust Company, June 16, 2004
- Instinet Group, LLC, June 8, 2004
- GmbH for P & I Personal & Informatik Aktiengesellscaft, June 24, 2004
- UCB S.A., May 19, 2004
- CNL Retirement Properties, Inc., May 19, 2004
- San Diego Chapter of the National Association of Investors Corporation, May 14, 2004
- SABMiller PLC, May 10, 2004
- Anheuser-Busch Companies, Inc., May 7, 2004
- Associated Grocers of Maine, Inc., May 6, 2004
- The Pacific Exchange, Inc., April 30, 2004
- Songbird Acquisition Limited, April 22, 2004
- OnTrade, Inc., April 2, 2004
- Inet ECN, April 2, 2004
- BRUT System, April 1, 2004
- Track ECN, April 1, 2004
- Attain Systems, April 1, 2004
- NexTrade, Inc., April 1, 2004
- Bloomberg Tradebook, April 1, 2004
- BLB Investors, L.L.C., March 31, 2004
- Popular High Grade Fixed-Income Fund, Inc., March 31, 2004
- National Futures Association, March 22, 2004
- Harborside Securities, L.L.C., March 16, 2004
- CNL Income Properties, Inc., March 11, 2004
- Securities Industry Association, February 12, 2004
- Canary Wharf Group plc, February 9, 2004
- Boston Stock Exchange, Inc., February 4, 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
- Republic of Panama, January 16, 2004
- Federative Republic of Brazil, January 12, 2004
- Wells Real Estate Investment Trust II, Inc., December 9, 2003
- EDX London Limited and OM London Exchange Limited, October 29, 2003
- ING Senior Income Fund, October 9, 2003
- Investacorp Group, Inc., September 26, 2003
- Nasdaq Stock Market, Inc., September 15, 2003
- Loffa Interactive Corp., Inc., September 12, 2003
- Banyu Pharmaceutical Co. Ltd., September 11, 2003
- Inland Western Retail Real Estate Trust, Inc., August 25, 2003
- Lincoln National Life Insurance Company, August 22, 2003
- Clark Street Capital, Inc., August 20, 2003
- Goldman, Sachs & Co., August 14, 2003
- Rizzoli Corriere della Sera Medical Group S.p.A. for Fila Holding S.p.A.., July 28, 2003
- Edward D. Jones & Co., LP, August 1, 2003
- Trade Web, Jul 22, 2003
- Recording Certain Broker-Dealer Expenses and Liabilities, July 11, 2003
- Popular Total Return Fund, Inc., July 1, 2003
- Silver Young Trading LLC, June 25, 2003
- Twins Acquisition, Inc. Offer for IDS Group plc, June 25, 2003
- The Operating Committee of the Options Linkage Authority, May 30, 2003
- Serono France Holding S.A., May 14, 2003
- Portfolio System for Institutional Trading, April 23, 2003
- Allianz AG, April 10, 2003
- Chicago Board Options Exchange, March 31, 2003
- Bion Environmental Technologies, Inc., March 18, 2003
- Large Order Utility System, March 12, 2003
- Edward Mahaffy, March 6, 2003
- Notice Registration Requirements, March 5, 2002
- Vodafone Group Plc, March 3, 2003
- Dominion Bond Rating Service Limited, February 24, 2003
- UBS AG, London Branch and J.P. Morgan Securities Limited, February 21, 2003
- Vie Institutional Services, February 12, 2003
- Banyu Pharmaceutical Co. Ltd., January 9, 2003
- Offer by CIBER (UK) for ECsoft Group plc, January 8, 2003
- Republic of Colombia, December 2, 2002
- Tokyo Stock Exchange, Inc., November 15, 2002
- Nasdaq Stock Market, Inc., November 13, 2002
- The Island ECN, November 7, 2002
- Treasury FITR Exchange Traded Funds, November 1, 2002
- Instinet Corporation, November 1, 2002
- Fresco Index Shares Funds, October 21, 2002
- ING Senior Income Fund, October 17, 2002
- 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
- Popular High Grade Fixed-Income Fund, September 10, 2002
- DB Sechste Vermögensverwaltungsgesellschaft mbH for Stinnes AG, August 29, 2002
- Securities Industry Association and Futures Industry Association, August 20, 2002
- Headway Corporate Staff Administration, August 14, 2002
- Scripophily.com, August 14, 2002
- Market XT, August 8, 2002
- Saipem SpA, July 29, 2002
- National Association of Securities Dealers Order Audit Trail Rules 6950 through 6957, July 25, 2002
- Nasdaq Stock Market, Inc., July 23, 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
- American Stock Exchange, July 9, 2002
- Kentucky Public Employees' Deferred Compensation Authority, July 8, 2002
- Votorantim Celulose e Papel S.A., June 18, 2002
- Kingfisher Plc Offer for Castorama Dubois Investissements SCA, June 4, 2002
- SelectNet and SuperMontage, June 4, 2002
- Swiss American Securities Inc. and Streetline, Inc., May 28, 2002
- RAES System, May 16, 2002
- Herbruck, Alder & Co., May 3, 2002
- AUTOM System, April 15, 2002
- Maine Securities Regulator, April 9, 2002
- BRUT System, April 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
- RWE Aktiengesellschaft, March 22, 2002
- Biotech Boxes, March 19, 2002
- Century Business Services, Inc. and CBIZ Financial Solutions, Inc., March 1, 2002
- Telex-Chile, S.A., March 5, 2002
- BRUT ECN, LLC, February 1, 2002
- OneShare.com, January 16, 2002
- Digital Assurance Certification L.L.C., September 21, 2001
- NASD Small Firm Advisory Board, September 21, 2001
- Nasdaq Stock Market, Inc., September 21, 2001
- Securities Industry Association, September 21, 2001
- Exemptive Relief for Exchange Traded Index Funds, August 17, 2001
- First Union Securities, Inc., June 22, 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
- London International Financial Futures and Options Exchange ("LIFFE"), March 3, 2000
- Tokyo Stock Exchange, July 27, 1999
- Osaka Securities Exchange, July 23, 1999
- MONEP SA, October 26, 1998
- NASD Regulation, Inc., December 1, 1998
- Mercato Italiano dei Derivati - IDEM Equity and Index Options, September 1, 1998
- Attkisson, Carter, & Akers, June 23, 1998
- Cleary, Gottlieb, Steen and Hamilton, March 24, 1997
- 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
- Securities Industry Association, September 20, 1993; incoming letter
- London International Financial Futures Exchange and London Traded Options Market, May 1, 1992
- London Traded Options Market, September 4, 1990
Associated Persons of Broker-Dealers (including Registration, Bars, Statutory Disqualification, and Rule 19h-1)
Exchange Member Trading � Section 11(a)
- Philadelphia Stock Exchange, Inc., November 9, 2006
- Global Research Analyst Settlement, November 2, 2004
- American Stock Exchange, LLC, October 20, 2004
- Boston Stock Exchange, Inc., October 20, 2004
- Chicago Board Options Exchange, Inc., October 20, 2004
- International Securities Exchange, LLC, October 20, 2004
- Pacific Exchange, Inc., October 20, 2004
- Philadelphia Stock Exchange, Inc., October 20, 2004
- American Stock Exchange, LLC, June 15, 2004
- Boston Stock Exchange, Inc., June 15, 2004
- Chicago Board Options Exchange, Inc., June 15, 2004
- International Stock Exchange, LLC, June 15, 2004
- Pacific Exchange, Inc., June 15, 2004
- Philadelphia Stock Exchange, Inc., June 15, 2004
Financial Accounting Standards No. 150
Multiple Section Relief (e.g. exchange traded funds and other basket products)
Municipal Securities
Securities � Definition � Specialized Products
| Date |
Details |
| Aug. 28, 2009 |
Chicago Board Options Exchange |
| Aug. 28, 2009 |
NASDAQ OMX BX, Inc. |
| Aug. 21, 2009 |
Federal Reserve Board New York |
| Jun. 1, 2009 |
PIMCO ETF Trust |
| May 6, 2009 |
Grail Advisors ETF Trust |
| Apr. 20, 2009 |
FS Investment Corporation |
| Apr. 20, 2009 |
Lloyds Banking Group plc |
| Mar. 25, 2009 |
Index IQ ETF Trust |
| Mar. 5, 2009 |
Shinhan Financial Group Co., Ltd. |
| Feb. 18, 2009 |
The Royal Bank of Scotland Group plc and ABN AMRO Holding N.V. |
| Feb. 17, 2009 |
Federal Reserve Bank of New York |
| Nov. 16, 2007 |
Exemption Under Rule 608(e) of Regulation NMS under the Securities Exchange Act of 1934 from Certain Provisions of the "Plan for the Purpose of Creating and Operating an Intermarket Option Linkage" Relating to the Representation of Principal Acting as Agent Orders on the American Stock Exchange |
| Jul. 30, 2007 |
Boston Stock Exchange, Inc.'s Request for Exemption Under Rule 608(e) of Regulation NMS Under the Securities Exchange Act of 1934 from Certain Provisions of the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to the Execution of Option Transactions During Crossed Markets |
| Feb. 1, 2007 |
NYSE Request for Exemptions from Certain Provisions of the Intermarket Trading System ("ITS") Plan |
| Jan. 30, 2007 |
Extension of the Exemption from the Order Protection Provisions of the Intermarket Trading System ("ITS') Plan with Respect to Single-Priced Closing Transactions |
| Jan. 30, 2007 |
Extension of the Exemptions for Initial Version of the American Stock Exchange's AEMI Hybrid Market Trading Platform |
| Jan. 30, 2007 |
Extension of the Exemptions from Certain Provisions of the Intermarket Trading System Plan |
| Jan. 30, 2007 |
Extension of the Exemption from the Order Protection Provisions of the Intermarket Trading System ("ITS") Plan with Respect to Single-Priced Closing Transactions |
| Jan. 30, 2007 |
Extension of the Exemption under Rule 608(e) of Regulation NMS Under the Securities Exchange Act of 1934 from Certain Provisions of the Intermarket Trading System Plan |
| Nov. 14, 2006 |
Philadelphia Stock Exchange, Inc.'s Request for Exemptions under Rule 608(e) of Regulation NMS Under the Securities Exchange Act of 1934 from Certain Provisions of the Intermarket Trading System Plan |
| Nov. 3, 2006 |
Request for Exemptions for Initial Version of the American Stock Exchange's AEMI Hybrid Market Trading Platform |
| Jul. 27, 2006 |
Chicago Board Options Exchange Incorporated's Request for Exemption from Trade-Through Provisions of the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to the Automatic Execution of Option Transactions During Crossed Markets |
| Apr. 6, 2006 |
Request for Exemption from Rule 601(a)(Z)(iv) and 601(b)(l) under the Securities Exchange Act of 1934 for the NYSE Arca Inc.'s Portfolio Crossing Service |
| Nov. 18, 2005 |
Exemption Under Rule 608(e) of Regulation NMS under the Securities Exchange Act of 1934 from Certain Provisions of the "Plan for the Purpose of Creating and
Operating an Intermarket Option Linkage" Relating to the Representation of Principal Acting as Agent Orders on the Chicago Board Options Exchange |
| Feb. 13, 2003 |
Order Extending Temporary Exemption of Banks, Savings Associations, and Savings Banks from the Definition of "Dealer" under Section 3(a)(5) of the Securities Exchange Act of 1934 |
| Mar. 18, 2002 |
Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Certain Provisions of the Act and Rules Thereunder |
| Dec. 20, 2001 |
Extending Broker-Dealer Exemption from Sending Financial Information to Customers |
| Oct. 10, 2001 |
Government Securities Reconciliations |
| Sep. 28, 2001 |
Exemptive Relief to Respond to Market Developments, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 |
| Sep. 28, 2001 |
Re: Government Securities Reconciliations |
| Sep. 24, 2001 |
Re: Government Securities Reconciliations |
http://www.sec.gov/divisions/marketreg/mr-noaction.shtml
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