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Division of Market Regulation
Staff No-Action, Exemptive,
and Interpretive Letters
Note: Letters issued by the Divison of Market Regulation are currently available for January 2002 to the present date.
 Chronological List of Letters
Subject Categories
Subject Category List of Letters
Alphabetical List of Letters
| Chronological List of Letters |
- UBS AG, London Branch and J.P. Morgan Securities Limited, February 21, 2003
- Tokyo Stock Exchange, Inc., November 15, 2002
- Nasdaq Stock Market, Inc., November 13, 2002
- The Island ECN, November 7, 2002
- Treasury FITR Exchange Traded Funds, November 1, 2002
- Instinet Corporation, November 1, 2002
- Fresco Index Shares Funds, October 21, 2002
- ING Senior Income Fund, October 17, 2002
- Bank of Ireland Abby National, October 16, 2002
- Pepsi Bottling Group, Inc., Bottling Group LLC and PBG Grupo Embotellador Hispano-Mexicano S.L., October 14, 2002
- Bank of Ireland Abby National, October 8, 2002
- Serono S.A. Offer for All Outstanding Ordinary Shares, ADSs, OCEANEs and Warrants of Genset, September 12, 2002
- Koninklijke Ahold N.V.'s Tender Offer for Shares and ADSs of Santa Isabel S.A., September 10, 2002
- Popular High Grade Fixed-Income Fund, September 10, 2002
- DB Sechste Vermögensverwaltungsgesellschaft mbH for Stinnes AG, August 29, 2002
- Securities Industry Association and Futures Industry Association, August 20, 2002
- Headway Corporate Staff Administration, August 14, 2002
- Scripophily.com, August 14, 2002
- Market XT, August 8, 2002
- Saipem SpA, July 29, 2002
- National Association of Securities Dealers Order Audit Trail Rules 6950 through 6957, July 25, 2002
- The Nasdaq Stock Market, Inc., July 23, 2002
- iShares Trust ("Trust"), iShares 1-3 Year Treasury Index Fund, iShares 7-10 Year Treasury Index Fund, iShares 20+ Year Treasury Index Fund, iShares Treasury Index Fund, iShares Government/Credit Index Fund, iShares Lehman Corporate Bond Fund, and iShares Goldman Sachs InvesTop Corporate Bond Fund, July 15, 2002
- American Stock Exchange, July 9, 2002
- Kentucky Public Emloyees' Deferred Compensation Authority, July 8, 2002
- Votorantim Celulose e Papel S.A., June 18, 2002
- Kingfisher Plc Offer for Castorama Dubois Investissements SCA, June 4, 2002
- SelectNet and SuperMontage, June 4, 2002
- Swiss American Securities Inc. and Streetline, Inc., May 28, 2002
- RAES System, May 16, 2002
- Herbruck, Alder & Co., May 3, 2002
- AUTOM System, April 15, 2002
- Maine Securities Regulator, April 9, 2002
- Attain Systems, March 29, 2002
- BRUT LLC, March 29, 2002
- GlobeNet Trading System, March 29, 2002
- Instinet Real-Time Trading Services, March 29, 2002
- Island System ECN, March 29, 2002
- MarketXT, March 29, 2002
- NexTrade, Inc., March 29, 2002
- REDI System, March 29, 2002
- Track ECN, March 29, 2002
- Bloomberg Tradebook, March 29, 2002
- RWE Aktiengesellschaft, March 22, 2002
- Biotech Boxes, March 19, 2002
- Century Business Services, Inc. and CBIZ Financial Solutions, Inc., March 1, 2002
- Telex-Chile, S.A., March 5, 2002
- Track ECN, February 6, 2002
- BRUT ECN, LLC, February 1, 2002
- OneShare.com, January 16, 2002
| List of Letters by Subject Category |
"Bank" – Definition
Broker-Dealer Registration –
Clerical and Ministerial Activities
Broker-Dealer Registration —
Limited Broker-Dealer Functions
Broker-Dealer Registration – Networking
(Depository Institutions and Insurance Companies)
Broker-Dealer Registration — Other
Disclosure of Order Execution Information — Rule 11Ac1-5
ECNs ("Electronic Communications Networks")
- The Island ECN, November 7, 2002
- Instinet Corporation, November 1, 2002
- Attain Systems, March 29, 2002
- Bloomberg Tradebook, March 29, 2002
- BRUT LLC, March 29, 2002
- GlobeNet Trading System, March 29, 2002
- Instinet Real-Time Trading Services, March 29, 2002
- Island System ECN, March 29, 2002
- MarketXT, March 29, 2002
- NexTrade, Inc., March 29, 2002
- REDI System, March 29, 2002
- Track ECN, March 29, 2002
- Track ECN, February 6, 2002
- BRUT ECN, LLC, February 1, 2002
Exchange Member Trading — Section 11(a)
Foreign Market Communications with QIBs
Multiple Section Relief
(e.g. exchange traded funds and other basket products)
- Nasdaq Stock Market, Inc., November 13, 2002
- Treasury FITR Exchange Traded Funds, November 1, 2002
- Fresco Index Shares Funds, October 21, 2002
- iShares Trust ("Trust"), iShares 1-3 Year Treasury Index Fund, iShares 7-10 Year Treasury Index Fund, iShares 20+ Year Treasury Index Fund, iShares Treasury Index Fund, iShares Government/Credit Index Fund, iShares Lehman Corporate Bond Fund, and iShares Goldman Sachs InvesTop Corporate Bond Fund, July 15, 2002
- Biotech Boxes, March 19, 2002
Municipal Securities Brokers and Dealers
"Securities" - Other
Rule 14e-5, Purchases Outside a Tender Offer
- UBS AG, London Branch and J.P. Morgan Securities Limited, February 21, 2003
- Bank of Ireland Abby National, October 16, 2002
- Pepsi Bottling Group, Inc., Bottling Group LLC and PBG Grupo Embotellador Hispano-Mexicano S.L., October 14, 2002
- Bank of Ireland Abby National, October 8, 2002
- Serono S.A. Offer for All Outstanding Ordinary Shares, ADSs, OCEANEs and Warrants of Genset, September 12, 2002
- Koninklijke Ahold N.V.'s Tender Offer for Shares and ADSs of Santa Isabel S.A., September 10, 2002
- DB Sechste Vermögensverwaltungsgesellschaft mbH for Stinnes AG, August 29, 2002
- Saipem SpA, July 29, 2002
- Kingfisher Plc Offer for Castorama Dubois Investissements SCA, June 4, 2002
- RWE Aktiengesellschaft, March 22, 2002
- Telex-Chile, S.A., March 5, 2002
Rule 101 of Regulation M,
Activities By Distribution Participants
Rule 102 of Regulation M,
Activities By Issuers and Selling Security Holders During a Distribution
Vendor Display Rule Interpretive Guidance
Security Futures Products Brokers and Dealers
| Alphabetical List of Letters |
- American Stock Exchange, July 9, 2002
- Attain Systems, March 29, 2002
- AUTOM System, April 15, 2002
- Bank of Ireland Abby National, October 16, 2002
- Bank of Ireland Abby National, October 8, 2002
- Biotech Boxes, March 19, 2002
- Bloomberg Tradebook, March 29, 2002
- BRUT LLC, March 29, 2002
- BRUT ECN, LLC, February 1, 2002
- Century Business Services, Inc. and CBIZ Financial Solutions, Inc., March 1, 2002
- DB Sechste Vermögensverwaltungsgesellschaft mbH for Stinnes AG, August 29, 2002
- Fresco Index Shares Funds, October 21, 2002
- GlobeNet Trading System, March 29, 2002
- Headway Corporate Staff Administration, August 14, 2002
- Herbruck, Alder & Co., May 3, 2002
- ING Senior Income Fund, October 17, 2002
- Instinet Corporation, November 1, 2002
- Instinet Real-Time Trading Services, March 29, 2002
- iShares Trust ("Trust"), iShares 1-3 Year Treasury Index Fund, iShares 7-10 Year Treasury Index Fund, iShares 20+ Year Treasury Index Fund, iShares Treasury Index Fund, iShares Government/Credit Index Fund, iShares Lehman Corporate Bond Fund, and iShares Goldman Sachs InvesTop Corporate Bond Fund, July 15, 2002
- The Island ECN, November 7, 2002
- Island System ECN, March 29, 2002
- Kentucky Public Emloyees' Deferred Compensation Authority, July 8, 2002
- Kingfisher Plc Offer for Castorama Dubois Investissements SCA, June 4, 2002
- Koninklijke Ahold N.V.'s Tender Offer for Shares and ADSs of Santa Isabel S.A., September 10, 2002
- Maine Credit Unions, April 9, 2002
- Market XT, August 8, 2002
- Market XT, March 29, 2002
- Nasdaq Stock Market, Inc., November 13, 2002
- Nasdaq Stock Market, Inc., July 23, 2002
- National Association of Securities Dealers Order Audit Trail Rules 6950 through 6957, July 25, 2002
- NexTrade, Inc., March 29, 2002
- OneShare.com, January 16, 2002
- Pepsi Bottling Group, Inc., Bottling Group LLC and PBG Grupo Embotellador Hispano-Mexicano S.L., October 14, 2002
- Popular High Grade Fixed-Income Fund, September 10, 2002
- RAES System, May 16, 2002
- REDI System, March 29, 2002
- RWE Aktiengesellschaft, March 22, 2002
- Saipem SpA, July 29, 2002
- Scripophily.com, August 14, 2002
- Securities Industry Association and Futures Industry Association: No-Action Letter dated August 20, 2002
- SelectNet and SuperMontage, June 4, 2002
- Serono S.A. Offer for All Outstanding Ordinary Shares, ADSs, OCEANEs and Warrants of Genset, September 12, 2002
- Swiss American Securities Inc. and Streetline, Inc., May 28, 2002
- Telex-Chile, S.A., March 5, 2002
- Treasury FITR Exchange Traded Funds, November 1, 2002
- Tokyo Stock Exchange, Inc., November 15, 2002
- Track ECN, March 29, 2002
- Track ECN, February 6, 2002
- UBS AG, London Branch and J.P. Morgan Securities Limited, February 21, 2003
- Votorantim Celulose e Papel S.A., June 18, 2002
http://www.sec.gov/divisions/marketreg/mr-noaction.htm
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