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UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 DIVISION OF TRADING AND MARKETS March 28, 2013, Robert H. Rosenbaum, Esq. Vulgates 1601 K Street, NW Washington, DC 200061600

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What is no-action letter broker-dealer registration?

No-action letter broker-dealer registration is a process where a broker-dealer seeks assurance from regulatory authorities that certain activities will not result in enforcement action.

Who is required to file no-action letter broker-dealer registration?

Broker-dealers who want to engage in certain activities without fear of regulatory enforcement are required to file no-action letter broker-dealer registration.

How to fill out no-action letter broker-dealer registration?

To fill out no-action letter broker-dealer registration, broker-dealers must provide detailed information about the activities they wish to undertake and the rationale behind seeking a no-action letter.

What is the purpose of no-action letter broker-dealer registration?

The purpose of no-action letter broker-dealer registration is to provide clarity and assurance to broker-dealers regarding the permissibility of certain activities under regulatory rules.

What information must be reported on no-action letter broker-dealer registration?

No-action letter broker-dealer registration must include information about the specific activities proposed by the broker-dealer, the legal analysis supporting the request for a no-action letter, and any other relevant details.

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