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SEC Grants Financial Advisor Exemption from "Ineligible Issuer" Status

The SEC Division of Corporation Finance granted no-action relief to Voya Financial Advisors, Inc. from being considered an ineligible issuer under Securities Act Rule 405, subject to certain conditions.

Primary Sources

  1. SEC Division of Corporation Finance No-Action Letter to Voya Financial Advisors, Inc.

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Tags

Regulated Activities
Regulatory Reporting Recordkeeping Supervision / Compliance Waiver
Sub-Activity
CCO Obligations
Regulated Entities
Adviser / CTA / CPO Issuers of Securities
Sub-Entity
SEC-Registered Issuers
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
SEC