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No-Action Letters

Date
No-Action Letters
09/17/1975
75-10 PDF Image; Section 4m(1); No-Action
The Office of General Counsel granted CTA registration no-action relief to Silver Users Association based on the limited incidental use of the publication as a tool for trading in the futures and options markets. (OGC)
12/05/1975
75-20 PDF Image; Sections 4d and 4k; No-Action
The Office of General Counsel granted FCM and AP registration no-action relief to a company and its officers who were acting as an FCM and APs for two parent companies, conditioned on the FCM and APs only trading on behalf of those companies and only for those companies’ beneficial accounts—not for any customer accounts. (OGC)

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