SEC No-Action Letters

The Securities and Exchange Commission (SEC) is often asked to provide written interpretations of their statutes as they relate to specific transactions proposed by corporations, investors, broker/dealers, mutual funds, insurance companies, banks and attorneys. These responses are called “no-action” or interpretative letters. CCH has collected over 60,000 of these letters dating back to 1971 in its SEC No-Action Letters reporter, making them instantly available in electronic form.

SEC No-Action Letters provides an unmatched resource for securities and management professionals preparing SEC filings and conducting research pertaining to securities regulations and compliance. Especially if your situation has not been tried in the Courts.

SEC No-Action Letters is sold separately, or included with a subscription to CCH's Federal Securities Law Library, which is recognized as the most comprehensive collection of federal securities research material anywhere. Subscribe today to:

  • Get instant access to over 60,000 of the SEC's No-Action Letters dating back to 1971
  • View full-text letters and expert Service Bureau summaries
  • Save time and money with CCH's easy-to-use pinpoint search technology
  • Stay up-to-date on the latest SEC decisions with CCH's Daily Document Update

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Details

1978-Current
  • Employee Stock Ownership Plans
  • Other Employee Benefit Plans
  • Dividend Reinvestment Plans
  • Regulation S-K
  • Accounting Rules, Independence Letters and Regulation S-X
  • Securities Act of 1933
  • Securities Exchange Act of 1934
  • Public Utility Holding Company Act of 1935
  • Trust Indenture Act of 1939
  • Bankruptcy Act
  • Investment Advisers Act of 1940
  • Investment Company Act of 1940
  • Government Securities Act of 1986
  • Advance Release No-Action Letters
  • 1971-1977

  • Complete No-Action Letters
  • Abstracts—Washington Service Bureau
  • Daily Document Update

Access full-text letters and expert summaries - SEC No-Action Letters lets you instantly access the full text of over 60,000 no-action letters on a host of SEC related subjects, all organized by topic or Act.

In addition, for the period of 1971 onward, selected Washington Service Bureau abstracts and Federal Securities Law Reporter headnotes appended to the letters summarize the correspondence and applicable rules. Together they provide a comprehensive look at a particular subject to help you make the most-informed decisions.

Utilize advanced CCH search tools to pinpoint key information - CCH's easy-to-use search technology lets you track down no-action letters by key word, phrase, plain language description, document number or citation, to find exactly the information you¿re looking for in the least amount of time.

Stay current with Daily Document Update - Each day, CCH posts the most recent SEC no-action letters on the Internet under Daily Document Update, keeping subscribers up-to-the-moment on the latest SEC activity.

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