Interpretive Letters

News & Analysis as of

FINRA Relaxes Restrictions on Related Performance in Institutional Communications

On May 12, 2015, the Financial Industry Regulatory Authority (“FINRA”) issued an interpretive letter (the “Letter”) permitting the use of Related Performance Information (as defined below) in communications distributed solely...more

FINRA Allows Use of Related Performance Information in Communications Regarding Mutual Funds with Financial Intermediaries and...

Overview and Background - On May 12, 2015, the staff of the Financial Industry Regulatory Authority (FINRA staff) issued an interpretive letter to Hartford Funds Distributors, LLC (Hartford Funds) that conditionally...more

OCC Releases Interpretive Letter Regarding National Bank’s Authority to Engage in Railcar Leasing and Meet the OCC’s ‘Net Lease’...

The OCC released an interpretive letter (“Letter #1142”) in which it concluded that a national bank’s proposal to arrange for third-party repair and maintenance service providers to service on-lease railcars and act as an...more

More Post-Windsor Tax Guidance: IRS Issues Letter Outlining Steps for Individuals to Obtain Tax Refunds for Same-Sex Spousal...

On June 27, 2014, the IRS published a letter outlining the steps taxpayers should take in order to obtain a refund for taxes paid on the value of employer-sponsored health coverage provided to an employee’s same-sex spouse....more

The CFTC’s Interpretive Letters Regarding Securitizations, REITs and the Definition of “Commodity Pool”

In two interpretive letters issued on October 11, 2012 (collectively, the “Interpretive Letters”), the Division of Swap Dealers and Intermediary Oversight (the “Division”) of the Commodity Futures Trading Commission (the...more

CFTC Issues Interpretive Statement Regarding Foreign Regulators and Swap Data Repositories

The Commodity Futures Trading Commission issued a final interpretive statement to provide guidance to foreign regulators and swap data repositories (SDRs) regarding the confidentiality and indemnification provisions of...more

CFTC Provides Guidance on Bona Fide Hedging for Rule 4.5 Compliance

On October 12, CFTC Staff Interpretive Letter 12-19 provided guidance with respect to the interpretation of bona fide hedging under CFTC Regulations. Under Rule 4.5 of the CFTC’s Regulations, advisers may be excluded from the...more

The CFTC’s No-Action Letter Relating to Eligible Contract Participants and Swap Guarantee Arrangements

In a no-action letter issued on October 12, 2012 (the “No-Action Letter”), the Office of the General Counsel (“OGC”) of the Commodity Futures Trading Commission (the “CFTC”) clarified a number of matters relating to the...more

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