Get the free Request for No-action Relief from Rule 17a-4 for Certain Form ... - SEC

UNITED S T A T E S S E C U R I T I E S A N D EXCHANGE COMMISSION WASHINGTON, D.C. 20549 DIVISION O F TRADING AND MARKETS February 19, 2008, Mr. Richard E. Pu llano Associate Vice President and Chief

How to fill out request for no-action relief

How to fill out a request for no-action relief:

1. Start by gathering all necessary information and documents related to your situation. This may include legal documents, contracts, agreements, and any relevant correspondence.
2. Research and understand the specific requirements and guidelines for filing a request for no-action relief. These guidelines can usually be found on the website or resources provided by the regulatory authority overseeing your industry or jurisdiction.
3. Begin drafting your request letter, addressing it to the appropriate regulatory authority. Make sure to provide a clear and concise explanation of why you are seeking no-action relief and how it aligns with the regulatory requirements.
4. Include all necessary details in your letter, such as your name, contact information, the relevant rule or regulation you are seeking relief from, and a brief description of the circumstances surrounding your request.
5. Organize your supporting documents and attach them to your request letter. These documents should substantiate your claims and provide evidence to support your request for no-action relief.
6. Review your request letter and supporting documents carefully to ensure accuracy, clarity, and compliance with the guidelines provided by the regulatory authority.
7. Once you are satisfied with the content and format of your request, make copies of all documents for your records.
8. Submit your request for no-action relief by mail or through the designated online submission portal, following the instructions provided by the regulatory authority.

Who needs a request for no-action relief:

1. Individuals or entities who believe they may be in violation of a specific rule or regulation and wish to seek assurance from the regulatory authority that no enforcement action will be taken against them.
2. Businesses or organizations that need clarity or guidance on whether certain actions or practices will be considered compliant with the relevant regulatory requirements.
3. Stakeholders who want to mitigate potential legal risks or uncertainties associated with their operations or activities.

In summary, to fill out a request for no-action relief, gather relevant information, understand the guidelines, draft a letter explaining your situation, attach supporting documents, review and submit the request. A request for no-action relief can be beneficial for individuals or organizations seeking assurance or guidance regarding compliance or potential legal risks.

For pdfFiller’s FAQs

What is request for no-action relief?

A request for no-action relief is a process by which a party can request that the staff of a regulatory agency not recommend enforcement action for a particular activity or transaction.

Who is required to file request for no-action relief?

Any party who is seeking assurance that a specific action will not result in enforcement action may file a request for no-action relief.

How to fill out request for no-action relief?

A request for no-action relief typically involves submitting a written request to the relevant regulatory agency, providing detailed information about the activity or transaction in question.

What is the purpose of request for no-action relief?

The purpose of a request for no-action relief is to seek clarity and assurance from regulatory agencies regarding potential legal or regulatory issues.

What information must be reported on request for no-action relief?

A request for no-action relief should include details about the parties involved, the specific activity or transaction in question, relevant legal and regulatory provisions, and any other relevant information.

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