Please use this form for written requests for no-action and interpretive letters under 17 CFR § 202.1(d). See No-Action and Interpretive Letters issued by the Division of Investment Management. Please read our Privacy Act Notice to learn about how we may use the information you send to us.
Procedures for submitting requests. The Commission has specified certain procedures to be followed by persons submitting requests for no- action or interpretive letters. These procedures include:
- The specific subsection of the particular statute to which the letter pertains should be indicated in the upper right-hand corner of the letter submitted.
- The names of the company or companies and all other persons involved should be stated. Where the request involves potentially “market-moving” information and/or the requestor does not wish to provide its name, the name of counsel representing the requestor should be provided, and the staff will follow up accordingly. Letters relating to hypothetical situations will not be answered.
- Letters should be limited to the particular situation involving the problem at hand and should not attempt to include every possible type of situation which may arise in the future.
- While it is essential that letters contain all of the facts necessary to reach a conclusion in the matter, they should be concise and to the point.
- The writer should indicate why he or she thinks a problem exists and his or her own legal analysis in the matter.
- If a request for confidential treatment is made, this request and the basis therefore should be included in a separate letter and submitted with the request letter.
As a matter of policy, the Division does not answer hypothetical questions.
DO NOT provide any sensitive personally identifiable information (PII) on this form. Examples of sensitive PII include social security number (SSN) and date of birth (DOB).
Fields marked with an asterisk (*) are required.
