Because its members were interested in expanding the criteria for recognizing foreign equity securities as having a ready market, FINRA requested no-action relief from the SEC to treat certain ...

Commodity Futures Trading Commission staff recently released two no-action letters providing relief relating to the application of business conduct standards to prime brokers and swap dealers and ...

The letter also said that once a customer has service restored, the company will automatically apply the appropriate credit to the next bill for the time the service was down. It said "no action ...

“We demand that either they present us with the answers or they go and get the answers but this limbo of no action is unacceptable,” they wrote. They letter was signed by Mayor Sam Morris of ...