Corporate Finance
- Lloyds Banking Group plc
Response of the Office of Mergers and Acquisitions
Nov 12, 2021 | 13:20 EST
- Hartford Funds Exchange-Traded Trust
Response of the Office of Mergers and Acquisitions
Sep 30, 2021 | 14:20 EST
- Sample Letter to Companies Regarding Climate Change Disclosures
Other Staff Guidance and Sample Comment Letters
Sep 22, 2021 | 14:00 EST
- The Advisors' Inner Circle Fund
Response of the Office of Mergers and Acquisitions
Sep 22, 2021 | 10:20 EST
- Schwab Strategic Trust
Response of the Office of Mergers and Acquisitions
Sep 14, 2021 | 16:20 EST
- Huntington Bancshares Incorporated
Waiver Request of Ineligible Issuer Status under Rule 405 of the Securities Act of 1933
Jun 24, 2021 | 17:45 EST
- BRP, Inc.
Response of the Office of Mergers and Acquisitions
Jun 23, 2021 | 11:10 EST
- Fidelity Covington Trust
Response of the Office of Mergers and Acquisitions
Jun 3, 2021 | 16:45 EST
- Eagle Bancorp Montana, Inc.
Response of the Office of Mergers and Acquisitions
May 21, 2021 | 10:40 EST
- Grupo Aeroportuario de Centro Norte, S.A.B. de C.V.
Response of the Office of Mergers and Acquisition, Division of Corporation Finance
May 19, 2021 | 11:30 EST
- Staff Guidance on EDGAR Filing of Form C Updated
Staff Guidance on EDGAR Filing of Form C Updated
May 15, 2021 | 14:30 EST
- Federation des caisses Desjardins du Quebec
Response of the Office of International Corporate Finance, Division of Corporation Finance
Apr 29, 2021 | 12:20 EST
- Putnam ETF Trust
Response of the Office of Mergers and Acquisition Division of Corporation Finance
Apr 22, 2021 | 14:00 EST
- Staff Guidance for Conducting Shareholder Meetings in Light of COVID-19 Concerns
Staff Guidance for Conducting Shareholder Meetings in Light of COVID-19 Concerns
Apr 9, 2021 | 12:00 EST
- NIIT Limited
Response of the Office of Mergers and Acquisition Division of Corporation Finance
Mar 24, 2021 | 12:00 EST
- Companhia Paranaense de Energia - Copel
Response of the Office of Mergers and Acquisition Division of Corporation Finance
Mar 17, 2021 | 17:00 EST
- Staff Guidance on EDGAR Filing of Form C
Staff Guidance on EDGAR Filing of Form C
Mar 17, 2021 | 15:00 EST
- Vedanta Limited
Response of the Office of Mergers and Acquisition Division of Corporation Finance
Mar 15, 2021 | 11:20 EST
- Disclosure Guidance Updated: Options Relating to Expiring Confidential Treatment Orders
Options for when a confidential treatment order is about to expire as amended March 9, 2021
Mar 9, 2021 | 14:45 EST
- Transocean Ltd.
Response of the Office of International Corporate Finance
Mar 3, 2021 | 14:00 EST
- Sample Letter to Companies Regarding Securities Offerings During Times of Extreme Price Volatility
Sample Letter to Companies Regarding Securities Offerings During Times of Extreme Price Volatility
Feb 8, 2021 | 13:00 EST
- ALPS ETF Trust
Response of the Office of Mergers and Acquisitions
Feb 4, 2021 | 10:10 EST
- Gabelli ETFs
Response of the Office of Mergers and Acquisitions
Jan 15, 2021 | 11:20 EST
- Fidelity Covington Trust
Response of the Office of Mergers and Acquisitions
Jan 14, 2021 | 14:30 EST
- Prudential Financial, Inc.
Rule 405 - Determination regarding ineligible issuer status
Dec 23, 2020 | 15:00 EST
- Enel S.p.A.
Request for Exemptive Relief from Rule 14e-5
Dec 16, 2020 | 17:15 EST
- Invesco Funds
Request for Exemptive Relief from Rule 14e-5
Dec 9, 2020 | 16:15 EST
- Public Service Company of North Carolina, Incorporated
Regulation D - Rule 506(d) Waivers of Disqualification
Dec 4, 2020 | 11:00 EST
- Dominion Energy, Inc.
Rule 405 - Determination regarding ineligible issuer status
Dec 4, 2020 | 11:00 EST
- IMVU, Inc.
Section 2(a)(1) - Definition of a security
Nov 19, 2020 | 10:40 EST
- Speech by Director William Hinman: The Regulation of Corporation Finance - A Principles-Based Approac
Remarks published in connection with an address at the PLI Directors' Institute on Corporate Governance (Eighteenth Annual)
Nov 18, 2020 | 14:00 EST
- Accounting and Financial Reporting: Division of Corporation Finance Financial Reporting Manual - Update
Revised to reflect changes to smaller reporting company, accelerated filer and large accelerated filer definitions and amendments from Disclosure Update and Simplifications; clarified the application of Rule 3-13 to Form 8-K and the income test for Rule 3-09 financial statements when there is more than one equity method investee; clarified audit requirements for a special-purpose acquisition company target in Form S-4/F-4; described the substantial deficiency situation impact on certain rule and eligibility standards; included another example of a "To Be Issued" accountant's report; and removed outdated references and updated for changes to GAAP, guidance issued by the PCAOB, Division of Corporation Finance, and SEC's Office of Chief Accountant in the last few years.
Nov 18, 2020 | 14:00 EST
- Securities Act Sections; Section 139. Securities Act Section 5
Securities Act Sections; Question 139.13 updated; Questions 139.15, 139.16, 139.17, 139.18, 139.19 and 139.20 withdrawn
Nov 13, 2020 | 09:00 EST
- Transitional FAQs Regarding Amended Regulation S-K Items 101, 103 and 105
Transitional FAQs Regarding Amended Regulation S-K Items 101, 103 and 105
Nov 5, 2020 | 12:00 EST
- Majesco Limited
Response of the Office of Mergers and Acquisitions, Division of Corporation Finance
Nov 2, 2020 | 14:45 EST
- Salt Blockchain Inc.
Division of Corporation Finance Regulation D waiver letter
Sep 30, 2020 | 15:00 EST
- Morgan Stanley and Co. LLC
Division of Corporation Finance Regulation D waiver letter
Sep 30, 2020 | 11:30 EST
- Aegon N.V.
Rule 405 - Determination regarding ineligible issuer status
Sep 30, 2020 | 11:30 EST
- Sentry Insurance a Mutual Company
Response of the Office of Chief Counsel
Sep 22, 2020 | 12:00 EST
- Securities Act Forms; Section 115. Form S-3 - General Instructions I.A.1 to I.A.8 - Registrant Requirements, New Question 115.18
Securities Act Forms; Section 115. Form S-3 - General Instructions I.A.1 to I.A.8 - Registrant Requirements, New Question 115.18, New Question 115.18
Sep 21, 2020 | 17:30 EST
- Regulation S-K; Section 219. Item 402(c) - Executive Compensation; Summary Compensation Table, New Question 219.05
Regulation S-K, New Section 155. Subpart 1300 (Items 1300-1305) - Disclosure by Registrants Engaged in Mining Operations, New Questions 105.01, 105.02, 105.03
Sep 21, 2020 | 17:30 EST
- Connecticut Medical Insurance Company
Response of the Office of Chief Counsel
Sep 9, 2020 | 16:00 EST
- CF Disclosure Guidance: Confidential Treatment Applications Submitted Pursuant to Rules 406 and 24b-2 - Expiring Confidential Treatment Orders
CF Disclosure Guidance
Sep 9, 2020 | 13:45 EST
- FuelCell Energy, Inc.
Response of the Office of Mergers and Acquisitions, Division of Corporation Finance
Sep 3, 2020 | 16:30 EST
- Natixis ETF Trust II
Response of the Office of Mergers and Acquisitions, Division of Corporation Finance
Aug 27, 2020 | 11:30 EST
- Oak Harbor Reinsurance Company
Response of the Office of Chief Counsel
Aug 21, 2020 | 15:30 EST
- Division of Corporation Finance Statement Regarding Submission of Supplemental Materials and Information Subject to Rule 83 Confidential Treatment Requests in Light of COVID-19 Concerns
Submission of Supplemental Materials and Information Subject to Rule 83 Confidential Treatment Requests in Light of COVID-19 Concerns
Aug 4, 2020 | 10:15 EST
- American International Group, Inc
Rule 405 - Determination regarding ineligible issuer status
Jul 28, 2020 | 10:30 EST
- American International Group, Inc
Rule 405 - Determination regarding ineligible issuer status
Jul 28, 2020 | 10:30 EST
- Just Dial Limited
Tender Offers
Jul 24, 2020 | 16:30 EST
- First Trust Exchange-Traded Fund VIII
Request for Exemptive Relief from Rule 14e-5
Jul 22, 2020 | 15:30 EST
- American Century ETF Trust
Request for Exemptive Relief from Rule 14e-5
Jul 16, 2020 | 10:00 EST
- HealthCare Global Enterprises Limited
Partial Offer by Aceso Company Pte. Ltd. for HealthCare Global Enterprises Ltd.
Jul 16, 2020 | 09:00 EST
- T. Rowe Price
T. Rowe Price Exchange-Traded Fund Inc Request for Exemptive Relief from Exchange Act Rule 14e-5
Jul 06, 2020 | 13:00 EST
- No-Action, Interpretive and Exemptive Letters: Franklin Resources, Inc.
Rule 405 - Determination regarding ineligible issuer status
Jul 02, 2020 | 15:00 EST
- No-Action Letter: Unilever Group
Response of the Office of International Corporate Finance Division of Corporation Finance
Jun 11, 2020 | 16:00 EST
- No-Action Letter: U.S. Bancorp
Rule 405 - Determination regarding ineligible issuer status
Jun 1, 2020 | 18:00 EST
- No-Action Letter: Morgan Stanley
Rule 405 - Determination regarding ineligible issuer status
May 12, 2020 | 10:07 EST
- COVID-19 Related FAQs
COVID-19 Related FAQs
May 4, 2020 | 18:00 EST
- Compliance and Disclosure Interpretations: Regulation S-K, New Section 155. Subpart 1300 (Items 1300-1305) - Disclosure by Registrants Engaged in Mining Operations, New Questions 105.01, 105.02, 105.03
Regulation S-K, New Section 155. Subpart 1300 (Items 1300-1305) - Disclosure by Registrants Engaged in Mining Operations, New Questions 105.01, 105.02, 105.03
Apr 29, 2020 | 12:00 EST
- No-Action Letter: Royal Bank of Canada
Rule 405 - Determination regarding ineligible issuer status
Apr 24, 2020 | 16:15 EST
- Annoucement: Statement Regarding Requirements for Form 144 Paper Filings in Light of COVID-19 Concerns
Requirements for Form 144 Paper Filings in Light of COVID-19 Concerns
Apr 10, 2020 | 14:10 EST
- No-Action Letter: First Trust Exchange-Traded Fund III
Rule 14e-5 - Purchases Outside a Tender Offer
Apr 08, 2020 | 16:00 EST
- Compliance and Disclosure Interpretations: Exchange Act Forms, Section 104. Form 10-K, Question 104.18
Section 104. Form 10-K, Question 104.18
Apr 06, 2020 | 10:30 EST
- Compliance and Disclosure Interpretations: Exchange Act Forms, Section 112. Form 40-F, Question 112.02
Section 112. Form 40-F, Question 112.02
Apr 06, 2020 | 10:30 EST
- Compliance and Disclosure Interpretations: Exchange Act Rules, new items 135.12 and 135.13
Section 135. Rule 12b-25 - Question 135.12 and 135.13
Mar 31, 2020 | 10:30 EST
- No-Action Letter: HSBC Holdings plc
Rule 405 - Determination regarding ineligible issuer status
Mar 16, 2020 | 16:00 EST
- No-Action Letter: Wells Fargo and Company
Regulation D - Rule 506(d) Waivers of Disqualification
Feb 18, 2020 | 16:45 EST
- No-Action Letter: First Trust Exchange-Traded Fund III,
Rule 14e-5 - Purchases Outside a Tender Offer
Feb 05, 2020 | 15:45 EST
- No-Action Letter: Bank of America Securities, Inc.,
Rule 14e-5 - Purchases Outside a Tender Offer
Jan 27, 2020 | 11:12 EST
- Compliance and Disclosure Interpretations: Regulation S-K, new items 110.02, 110.03, 110.04
Compliance and Disclosure Interpretations: Regulation S-K
Jan 24, 2020 | 14:10 EST
- No-Action Letter: American Century ETF Trust
Rule 14e-5 - Purchases Outside a Tender Offer
Jan 22, 2020 | 10:20 EST
- No-Action Letter: LINE Corporation
Tender offers
Jan 21, 2020 | 13:20 EST
- No-Action Letter: Baillie Gifford European Growth Trust plc
Tender offers
Dec 20, 2019 | 16:00 EST
- CF Disclosure Guidance: Intellectual Property and Technology Risks Associated with International Business Operations
CF Disclosure Guidance
Dec 19, 2019 | 18:00 EST
- CF Disclosure Guidance: Confidential Treatment Applications Submitted Pursuant to Rules 406 and 24b-2
CF Disclosure Guidance
Dec 19, 2019 | 18:00 EST
- No-Action Letter: Fidelity Covington Trust
Rule 14e-5 - Purchases Outside a Tender Offer
Dec 19, 2019 | 16:00 EST
- No-Action Letter: Blockchain of Things, Inc.
Regulation D - Rule 506(d) Waivers of Disqualification
Dec 18, 2019 | 08:42 EST
- No-Action Letter: American Century EFT Trust
Rule 14e-5 - Purchases Outside a Tender Offer
Dec 13, 2019 | 08:42 EST
- No-Action Letter: Jewelers Mutual Insurance Company
Section 2(a)(1) - Definition of a security
Dec 11, 2019 | 13:35 EST
- No-Action Letter: Asian Infrastructure Investment Bank
Schedule B - Foreign government registration statement
Dec 10, 2019 | 10:45 EST
- No-Action Letter: First Trust Exchange-Traded Fund VIII
Rule 14e-5 - Purchases Outside a Tender Offer
Dec 5, 2019 | 17:00 EST
- No-Action Letter: Morgan Stanley (Waiver Request)
Rule 405 - Determination regarding ineligible issuer status
Nov 8, 2019 | 13:51 EST
- No-Action Letter: Church Mutual Insurance Company
Section 2(a)(1) - Definition of a security
Oct 17, 2019 | 13:51 EST
- Staff Legal Bulletin: Shareholder Proposals, No. 14K (CF)
Staff Legal Bulletin: Shareholder Proposals
Oct 16, 2019 | 18:15 EST
- No-Action Letter: Block.one
Regulation D - Rule 506(d) Waivers of Disqualification
Sep 30, 2019 | 18:30 EST
- No-Action Letter: Nebulous
Regulation D - Rule 506(d) Waivers of Disqualification
Sep 30, 2019 | 18:30 EST
- No-Action Letter: Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative
Regulation D - Rule 506(d) Waivers of Disqualification
Sep 30, 2019 | 18:30 EST
- No-Action Letter: Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative
Regulation D - Rule 506(d) Waivers of Disqualification
Sep 30, 2019 | 18:30 EST
- No-Action Letter: BGC Partners, Inc.
Rule 405 - Determination regarding ineligible issuer status
Sep 27, 2019 | 18:15 EST
- No-Action Letter: Bank of Montreal
Rule 405 - Determination regarding ineligible issuer status
Sep 27, 2019 | 16:45 EST
- No-Action Letter: Raymond James Financial, Inc.
Rule 405 - Determination regarding ineligible issuer status
Sep 17, 2019 | 13:00 EST
- No-Action Letter: Prudential Financial, Inc.
Rule 405 - Determination regarding ineligible issuer status
Sep 16, 2019 | 15:00 EST
- No-Action Letter: InvenTrust Properties Corp.
Rule 13e-4 - Issuer Tender Offers
Sep 11, 2019 | 10:40 EST
- Annoucement: Announcement Regarding Rule 14a-8 No-Action Requests
Annoucement: Announcement Regarding Rule 14a-8 No-Action Requests
Sep 6, 2019 | 10:00 EST
- No-Action Letter: Taipei Exchange Main Board and Taipei Exchange Bond Market
Regulation S - Offers and sales made outside the United States
Sep 4, 2019 | 14:53 EST
- No-Action Letter: BioCardia, Inc.
Section 3(b) - Rules 262 and 505 Disqualification; Regulation D - Rule 506(d) Waivers of Disqualification
Sep 3, 2019 | 11:47 EST
- First Trust Exchange-Traded Fund IV
Rule 14e-5 - Purchases Outside a Tender Offer
Aug 20, 2019 | 14:23 EST
- Clear Channel Outdoor Holdings, Inc.
Rule 405 - Determination regarding ineligible issuer status
Aug 14, 2019 | 15:00 EST
- No-Action Letter: Banco Santander, S.A.
Third-party tender offers: Cross Border
Aug 09, 2019 | 13:25 EST
- No-Action Letter: Adani Ports and Special Economic Zone Limited
Tender Offers
Aug 02, 2019 | 10:35 EST
- No-Action Letter: Pocketful of Quarters, Inc.
Section 2(a)(1) - Definition of a security
Jul 25, 2019 | 15:20 EST
- Accounting and Financial Reporting: Division of Corporation Finance Financial Reporting Manual - Update
Removed guidance related to presentation of selected financial data and acquired business financial statements in a Form 10 filed by a Smaller Reporting Company; clarified the application of Rule 3-13 and Note 5 to Rule 8-01 of Regulation S-X; and revised for certain technical amendments (e.g., update EGC revenue threshold pursuant to SEC Release 33-10332 and replace FASB ASU references with the applicable ASC Topics).
Jul 02, 2019 | 12:10 EST
- No-Action Letter: KPIT Technologies, Limited
Tender Offers
Jul 01, 2019 | 10:54 EST
- No-Action Letter: Certain Existing Funds affiliated with Och-Ziff Capital Management Group LLC and OZ Management LP
Regulation D - Rule 506(d) Waivers of Disqualification
Jun 19, 2019 | 09:54 EST
- No-Action Letter: Hulst B.V.
Tender offers
Jun 14, 2019 | 10:45 EST
- No-Action Letter: BPR Inc.
Rule 13e-4 - Issuer tender offers
Jun 13, 2019 | 14:50 EST
- No-Action Letter: Deer Park Road Management Company, LP
Regulation D - Rule 506(d) Waivers of Disqualification
Jun 04, 2019 | 13:46 EST
- No-Action Letter: MiMedx Group, Inc.
No-Action Letter regarding Proxy Solicitations
May 30, 2019 | 11:25 EST
- No-Action Letter: FQF Trust
Rule 14e-5 - Purchases Outside a Tender Offer
May 23, 2019 | 09:19 EST
- No-Action Letter: Precidian ETF Trust II
Rule 14e-5 - Purchases Outside a Tender Offer
May 22, 2019 | 16:37 EST
- Current Topic: Voluntary Compliance with the New Mining Property Disclosure Rules Prior to Completion of EDGAR Reprogramming
Voluntary Compliance with the New Mining Property Disclosure Rules Prior to Completion of EDGAR Reprogramming
May 7, 2019 | 12:15 EST
- No-Action Letter: NZX Limited
Regulation S - Offers and sales made outside the United States
Apr 12, 2019 | 15:04 EST
- No-Action Letter: The Money Management Institute
Section 5 - Registration of offers and sales of securities
Apr 11, 2019 | 15:35 EST
- No-Action Letter: Bank of America, N.A., Merrill Lynch, Pierce, Fenner & Smith Incorporated
Section 16 - Directors, officers and principal stockholders
Apr 08, 2019 | 16:45 EST
- No-Action Letter: Valeant Pharmaceuticals International, Inc.
Rule 405 - Determination regarding ineligible issuer status
Apr 05, 2019 | 15:45 EST
- No-Action Letter: Salix Pharmaceuticals, Ltd.
Securities Act of 1933 Rules 506(d) and 262(b)
Apr 05, 2019 | 15:45 EST
- Staff Guidance: Framework for Investment Contract Analysis of Digital Assets
Apr 03, 2019 | 11:00 EST
- No-Action Letter: TurnKey Jet, Inc.
Securities Act of 1933 Section 2(a)(1)
Apr 03, 2019 | 11:00 EST
- Statement: Statement on Framework for Investment Contract Analysis of Digital Assets
Apr 03, 2019 | 11:00 EST
- No-Action Letter: Contingent Convertible Capital Securities
Rule 144A
Apr 01, 2019 | 15:47 EST
- Waiver Order: Wells Fargo Securities, LLC
Waiver Order
Mar 20, 2019 | 14:31 EST
- No-Action Letter: Wells Fargo Securities, LLC
Regulation D - Rule 506(d) Waivers of Disqualification and Section 3(b) - Rules 262 and 505 Disqualification
Mar 20, 2019 | 14:31 EST
- Waiver Order: Deutsche Bank AG, Wells Fargo & Company, and Royal Bank of Canada
Waiver Order
Mar 12, 2019 | 11:25 EST
- Waiver Order: Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative
Waiver Order
Mar 12, 2019 | 11:25 EST
- No-Action Letter: Indian Energy Exchange Limited
Section 14 - Proxy and tender offer rules: tender offers
Mar 04, 2019 | 11:45 EST
- Compliance and Disclosure Interpretations: Regulation S-K
New Questions 116.11 and 133.13
Feb 06, 2019 | 11:15 EST
- No-Action Letter: Mastercard UK Holdco Limited
Section 14 - Proxy and tender offer rules: Cross-border Third-party tender offers
Feb 06, 2019 | 10:43 EST
- No-Action Letter: iShares Trust
Rule 14e-5 - Purchases Outside a Tender Offer
Feb 01, 2019 | 09:41 EST
- No-Action Letter: ARK ETF Trust
Rule 14e-5 - Purchases Outside a Tender Offer
Jan 31, 2019 | 17:30 EST
- Waiver Request: Central States Capital Markets, LLC
Regulation D - Rule 506(d) Waivers of Disqualification
Dec 19, 2018 | 15:47 EST
- No-Action Letter: The Bank of New York Mellon Corporation
No-Action Letter re: Rule 405 - Determination regarding ineligible issuer status
Dec 17, 2018 | 13:14 EST
- No-Action Letter: Just Dial Limited
No-Action Letter re: Section 14 - Proxy and Tender Offers
Nov 30, 2018 | 17:58 EST
- No-Action Letter: Deutsche Access Investments Limited
No-Action Letter re: Regulation S - Offers and sales made outside the United States
Nov 20, 2018 | 17:12 EST
- No-Action Letter: FSP 303 East Wacker Drive Corp. Liquidating Trust
No-Action Letter re: Sections 12(g) and 12(h) - Relief from reporting
Nov 13, 2018 | 15:40 EST
- No-Action Letter: Brazilian Foreign Private Issuers
No-Action Letter re: Rule 10A-3
Nov 8, 2018 | 17:18 EST
- Compliance and Disclosure Interpretations: Exchange Act Rules: Questions 130.04, 169.01, 169.02, 169.03 withdrawn
Compliance and Disclosure Interpretations: Exchange Act Rules: Questions 130.04, 169.01, 169.02, 169.03 withdrawn
Nov 7, 2018 | 09:30 EST
- Compliance and Disclosure Interpretations: Regulation S-K: Updates to Questions 102.01, 102.02 and 202.01, Questions 110.01 and 133.09 withdrawn
Compliance and Disclosure Interpretations: Regulation S-K: Updates to Questions 102.01, 102.02 and 202.01, Questions 110.01 and 133.09 withdrawn
Nov 7, 2018 | 09:30 EST
- Compliance and Disclosure Interpretations: Exchange Act Forms, update to Question 104.13
Compliance and Disclosure Interpretations: Exchange Act Forms, update to Question 104.13
Nov 7, 2018 | 09:30 EST
- No-Action Letter: Mphasis Limited
No-Action Letter re: Section 14 - Proxy and Tender Offers
Nov 5, 2018 | 14:47 EST
- No-Action Letter: International Stock Exchange Authority Limited
No-Action Letter re: Regulation S - Offers and sales made outside the United States
Nov 5, 2018 | 10:09 EST
- No-Action Letter: Teva Pharmaceutical Industries Limited
No-Action Letter re: Section 14 - Proxy and tender offer rules - Proxy solicitations
Oct 26, 2018 | 08:07 EST
- No-Action Letter: Tesoro Viejo Master Mutual Water Company
No-Action Letter re: Section 2(a)(1) - Definition of a security
Oct 26, 2018 | 07:33 EST
- No-Action Letter: Noridian Mutual Insurance Company d/b/a Blue Cross Blue Shield of North Dakota
No-Action Letter re: Section 2(a)(1) - Definition of a security
Oct 24, 2018 | 17:03 EST
- Staff Legal Bulletin 14(J): Shareholder Proposals
Staff Legal Bulletin No. l4J (CF): Shareholder Proposals
Oct 23, 2018 | 17:50 EST
- No-Action Letter: Tesla Inc.
No-Action Letter re: Regulation D - Rule 506(d) Waivers of Disqualification
Oct 18, 2018 | 11:11 EST
- No-Action Letter: Space Exploration Technologies Corp.
No-Action Letter re: Regulation D - Rule 506(d) Waivers of Disqualification
Oct 18, 2018 | 11:11 EST
- No-Action Letter: Neuralink Corp.
No-Action Letter re: Regulation D - Rule 506(d) Waivers of Disqualification
Oct 18, 2018 | 11:11 EST
- No-Action Letter: The Boring Company
No-Action Letter re: Regulation D - Rule 506(d) Waivers of Disqualification
Oct 18, 2018 | 11:11 EST
- No-Action Letter: Redington (India) Limited
No-Action Letter re: Section 14 - Proxy and Tender Offers
Oct 18, 2018 | 10:37 EST
- Compliance and Disclosure Interpretations: Cross-Border Exemptions
Compliance and Disclosure Interpretations: Cross-Border Exemptions
Oct 17, 2018 | 16:30 EST
- No-Action Letter: LendingClub Corporation
No-Action Letter re: Rule 405 - Determination regarding ineligible issuer status
Sep 28, 2018 | 15:05 EST
- No-Action Letter: Walgreens Boots Alliance, Inc.
No-Action Letter re: Rule 405 - Determination regarding ineligible issuer status
Sep 28, 2018 | 10:20 EST
- Compliance and Disclosure Interpretations: Exchange Act Forms, Section 105: Form 10-Q, new Question 105.09
Compliance and Disclosure Interpretations Section 105: Form 10-Q, new Question 105.09
Sep 25, 2018 | 15:25 EST
- No-Action Letter: Global Payments, Inc.
No-Action Letter re: Rule 405 - Determination regarding ineligible issuer status
Sep 21, 2018 | 15:25 EST
- No-Action Letter: Republic of Indonesia
No-Action Letter re: Schedule B
Sep 07, 2018 | 11:15 EST
- No-Action Letter: HCL Technologies Limited
No-Action Letter re: Rule 13e-4 - Issuer tender offers
Sep 04, 2018 | 16:12 EST
- No-Action Letter: Thomson Reuters Corporation
No-Action Letter re: Rule 13e-4 - Issuer tender offers
Aug 28, 2018 | 13:49 EST
- No-Action Letter: Aegon, N.V.
No-Action Letter re: Rule 405 - Determination regarding ineligible issuer status
Aug 27, 2018 | 12:03 EST
- Annoucement: Division of Corporation Finance Staff to Continue to Enhance Transparency of Staff Actions
Annoucement: Division of Corporation Finance Staff to Continue to Enhance Transparency of Staff Actions
Aug 20, 2018 | 15:25 EST
- No-Action Letter: PG&E Corporation
No-Action Letter re: Rule 405 - Determination regarding ineligible issuer status
Aug 16, 2018 | 13:15 EST
- No-Action Letter: Ameriprise Financial, Inc.
No-Action Letter re: Rule 405 - Determination regarding ineligible issuer status
Aug 15, 2018 | 10:30 EST
- Compliance and Disclosure Interpretations: Proxy Rules and Schedules 14A/14C, new Questions 126.06 and 126.07
Jul 31, 2018 | 17:30 EST
- No-Action Letter: KBS Legacy Partners Apartment REIT, Inc.
Jul 27, 2018 | 10:00 EST
- No-Action Letter: Oaktree Capital Group, LLC
Jul 10, 2018 | 15:00 EST
- No-Action Letter: Charles Schwab & Co., Inc.
Jul 10, 2018 | 09:45 EST
- No-Action Letter: Yahoo Japan Corporation
Jul 9, 2018 | 17:00 EST