SEC no-action letters indexed on EDGAR
No-action letter records indexed on EDGAR from 1996 to 2017, covering SEC staff responses to requests about proposed transactions.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/filings?query=formType:%22NO%20ACT%22&size=2"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/filings",
params={'query': 'formType:"NO ACT"', 'size': '2'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())What is NO ACT?
A no-action letter is a response from SEC staff stating that the staff would not recommend enforcement action if a requester proceeds as described. Companies, funds and law firms request them on questions such as shareholder proposal exclusions under Rule 14a-8, registration exemptions and fund operations.
EDGAR indexes these records under the NO ACT type for the years shown. The SEC also publishes no-action letters on its website by division, which is the primary source for current letters.
Recorded on EDGAR under the requesting company or person; the letters themselves are SEC staff responses.
Whenever staff responds to a request. EDGAR records under this type run from 1996 to 2017.
Filings per year
Every NO ACT filing on EDGAR, counted from the SecFeed index. Updated daily.
What is inside
| Section | Contents |
|---|---|
| Incoming request | The facts and the question presented to the staff, where included. |
| Staff response | Whether the staff would recommend enforcement action. |
| Subject company | The company the letter relates to. |
Get NO ACT data with SecFeed
Search the filings with formType:"NO ACT", read any document as text or PDF, and use these APIs for structured data:
Search every SEC EDGAR filing since 1993 with Lucene-style queries over ticker, CIK, form type, filing date, company, SIC and 8-K items.
Text Search APISearch every word of every EDGAR filing and exhibit since 2001. Exact phrases, form type, CIK and date filters, results as JSON.
Document Download APIList every file in an SEC filing and download any document, exhibit, XBRL file or image from the EDGAR archive with one authenticated call.
Latest NO ACT filings
| Company | Form | Filed | |
|---|---|---|---|
| FRANKLIN RESOURCES INC | NO ACT | 2017-10-26 | EDGAR ↗ |
| Walgreens Boots Alliance, Inc. | NO ACT | 2017-10-10 | EDGAR ↗ |
| LUBYS INC | NO ACT | 2017-10-02 | EDGAR ↗ |
| Empire State Realty Trust, Inc. | NO ACT | 2017-09-14 | EDGAR ↗ |
| EXTREME NETWORKS INC | NO ACT | 2017-09-14 | EDGAR ↗ |
| CARDINAL HEALTH INC | NO ACT | 2017-09-08 | EDGAR ↗ |
| CISCO SYSTEMS, INC. | NO ACT | 2017-08-29 | EDGAR ↗ |
| CACI INTERNATIONAL INC /DE/ | NO ACT | 2017-08-23 | EDGAR ↗ |
Use cases
- Research how staff treated shareholder proposal exclusions
- Find precedents for a proposed transaction
- Historical regulatory research
Related forms
SEC staff comment letters (UPLOAD) and company responses (CORRESP) since 2003: the review dialogue behind 10-Ks, S-1s and proxy statements.
DEF 14AAnnual meeting proxyEvery DEF 14A definitive proxy statement since 1994: executive pay, board members, audit fees, pay versus performance and ballot proposals.
FAQ
What is an SEC no-action letter?
A staff response saying it would not recommend enforcement if the requester acts as described. It is not a Commission ruling.
Where are recent no-action letters published?
On the SEC website, organized by division. EDGAR records under this type stop in 2017.
Every NO ACT filing, one API call away
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