You state the following: 1. Great Ajax Corp. (the “Company”), a Maryland corporation and publicly traded real estate investment trust (“REIT”), is engaged in the business of acquiring, investing in and … See more Based on the facts and representations in your letter, we would not recommend enforcement action to the Commission under Section 7 of the 1940 Act against the Depositor if the Depositor relies on Section 3(c)(5)(C) of … See more You argue that the Depositor should be able to rely on Section 3(c)(5)(C) because the Depositor is primarily engaged in the mortgage loan business, and thus is an issuer that is … See more WebSep 10, 2024 · The no-action letter essentially states that the Bureau will not take supervisory or enforcement action under RESPA against HUD-certified HCAs that have entered into certain fee-for-service arrangements with lenders for pre-purchase housing counseling services. The NAL, which is an exercise of the Bureau’s supervisory and …
SEC Issues First
WebRe: Request of Great Ajax Corp. ( on behalf of Great Ajax Funding LLC) for No-Action . … WebJan 5, 2024 · The no-action letter was expressly conditioned on the fact that the consulting firm would not represent or advise any contacted US-based entity and would not receive, acquire or hold funds or securities. In a 2014 no-action letter, the staff agreed not to recommend enforcement action to the SEC under Section 15(a) ... tax aide middlesex nj
SEC extends Rule 15c2-11 no-action relief for 144A debt to …
WebFeb 21, 2024 · In the Great Ajax letter, however, the SEC staff agreed with the Applicant … WebMay 29, 2024 · On May 22, 2024, the Consumer Financial Protection Bureau (CFPB) introduced two new No-Action Letter (NAL) "templates," described as part of the Bureau's ongoing efforts to both spur the introduction of new personal finance and Financial Technology (FinTech) products, and to encourage financial institutions to provide swift … WebGreat Lakes Advisors, Inc. File No. 801-36915 By letter dated August 21, 1991, you request assurance that the staff would not recommend enforcement action to the Commission if, as more fully described in your letter, Great Lakes Advisors, Inc., a registered investment adviser ("Great Lakes"), uses certain performance data of tax and ni limits