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Request for No-Action Relief from Trade Execution Requirement October 15, 2014, Mr. Vincent A. McGonagall Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Center 1155
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How to fill out request for no-action relief
How to fill out a request for no-action relief:
01
Start by clearly identifying yourself as the party making the request. Provide your name, contact information, and any relevant background information.
02
Include a brief and concise statement explaining why you are seeking no-action relief. Clearly outline the specific securities laws or regulations that you believe should be exempted or not enforced in your case.
03
Provide a detailed description of the factual circumstances and legal analysis supporting your request. This may include the specific activities or transactions involved, relevant agreements or contracts, and any applicable exemptions or exclusions under the securities laws.
04
Attach any supporting documentation that may strengthen your case for no-action relief. This could include legal opinions, correspondence with regulators or attorneys, or other relevant evidence.
05
Address any potential objections or concerns that regulators may have regarding your request. Anticipate and provide counterarguments or explanations for why granting no-action relief would be in the public interest and consistent with the goals of the securities laws.
06
Include a request for a timely response from the appropriate regulatory body. Specify a desired time frame for a decision or indicate any deadlines or time-sensitive considerations that may be relevant.
Who needs a request for no-action relief?
Individuals or entities who believe that their proposed activities or transactions may potentially violate securities laws or regulations can benefit from filing a request for no-action relief. By seeking clarity and assurance from regulatory bodies, parties can avoid potential legal consequences or enforcement actions. This is particularly relevant for market participants, such as issuers, broker-dealers, investment advisers, and other securities professionals, who want to ensure compliance with applicable securities laws and regulations.
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What is request for no-action relief?
A request for no-action relief is a petition filed with a regulatory agency seeking permission to engage in certain activities without facing enforcement actions.
Who is required to file request for no-action relief?
Any individual or entity that wishes to engage in activities for which they may not have explicit approval must file a request for no-action relief.
How to fill out request for no-action relief?
To fill out a request for no-action relief, the petitioner must provide detailed information about the activities they wish to engage in, the reasons for seeking relief, and any relevant supporting documentation.
What is the purpose of request for no-action relief?
The purpose of a request for no-action relief is to seek assurance from the regulatory agency that the petitioner will not face enforcement actions for engaging in specified activities.
What information must be reported on request for no-action relief?
The request for no-action relief must include detailed information about the activities, reasons for seeking relief, supporting documentation, contact information, and any other relevant details requested by the regulatory agency.
Where do I find request for no-action relief?
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