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U.S. Securities and Exchange Commission

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

Subject Categories

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")

Exchange Member Trading — Section 11(a)

Foreign Market Communications with QIBs

Multiple Section Relief
(e.g. exchange traded funds and other basket products)

Municipal Securities Brokers and Dealers

"Securities" - Other

Rule 14e-5, Purchases Outside a Tender Offer

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



Modified: 03/06/2003