Checklist For No-Action Letters
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CHECKLIST FOR NO-ACTION LETTERS
Requested by:
No.
Date Received:
Tele:
Examiner:
1 .
Has the appropriate fee of $200 .00 been submitted?
2.
Has the request been submitted in two copies?
3.
Does the request contain:
A brief summary of the statutory and
(a)
regulatory provisions to which it pertains?
(b)
A detailed statement of the relevant facts?
A detailed discussion and analysis of the
(c)
law as it relates to the facts?
(d)
A statement of the legal authority for
granting the request?
(e)
A statement of the reasons a waiver or
no-action letter is appropriate?
(f)
A statement explaining any adverse or
beneficial effect upon the public interest
resulting from the granting of the request?
A certification that, within the knowledge
(g)
of the person on whose behalf the request
is made, the transaction described is not
directly or indirectly the subject of any
pending judicial or administrative
proceeding or, if such a proceeding is
pending, a description of the proceeding?
(h)
A certification that the transaction in
question has not been commenced or, if it
has commenced, a statement concerning its
status?
(i)
An acknowledgment by the person on whose
behalf the request is made that the
request, together with any documents or
information submitted will be public
information which may be released for
publication.
4. Does the request involve matters that will generally not be
considered?
(a) Waiver of the anti-fraud provisions?
(b) A transaction that has been commenced?
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