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Exemptive, No-Action, & Interpretative Letters for

Daily newsbrief journal for April 2013, also see for a global compendium library and follow twitter @usdemocrats

Exemptive, No-Action, & Interpretative Letters for

Postby admin » Wed May 01, 2013 8:31 pm

Exemptive, No-Action, & Interpretative Letters for

The following letter has been added:

12-79; Parts 43, 45, & 46; No-Action; December 27, 2012
The Division of Market Oversight issued time-limited, no-action relief to Societe Generale with respect to various reporting requirements under Parts 43, 45, and 46 that Societe Generale was required to comply with as of December 31, 2012.

13-11; Part 23, Subpart H, of the Commission’s Regulations; No-Action; April 30, 2013
The Division of Swap Dealer and Intermediary Oversight (DSIO) issued a time-limited no-action letter that provides swap dealers with relief from certain External Business Conduct Standards rules in the context of prime brokerage arrangements, subject to the conditions and limitations set forth in the letter.

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