September 2019

No-Action, Interpretive and Exemptive Letters

• Nebulous, Inc., September 30, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10716.pdf
• Block.one, September 30, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10717.pdf
• Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative, September 30, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10713.pdf
• Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative, September 30, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10712.pdf
• BGC Partners, Inc., September 27, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10711.pdf
• Bank of Montreal, September 27, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10708.pdf
• Raymond James Financial, Inc., September 17, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10690.pdf
• Prudential Financial, Inc., September 16, 2019
  • See Commission Order, available at: https://www.sec.gov/rules/other/2019/33-10685
• InvenTrust Properties Corp., September 9, 2019
• Taipei Exchange Main Board and Taipei Exchange Bond Market, September 3, 2019
• BioCardia, Inc., September 3, 2019