RCW Staff

Investment Advisers Act of 1940 – Rule 204A-1 and 204-2 Prudential Insurance Company of America March 1, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...

Investment Advisers Act of 1940 – Rule 206(4)-3 and Section 206(4) CIBC Mellon Trust Company February 24, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...

Investment Advisers Act of 1940 – Rule 206(4)-3 and Section 206(4) Goldman, Sachs & Co. February 23, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...

SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 201 [Release Nos. 33-8530; 34-51136; IA-2348; IC-26748] Adjustments to Civil Monetary Penalty Amounts AGENCY: Securities and Exchange Commission. ...

Investment Advisers Act of 1940 – Rule 206(4)-3 Morgan Stanley & Co. Incorporated February 4, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...

Investment Company Act of 1940 – Section 2(a)(42) and 17(a) Wells Fargo Alternative Asset Management, LLC – Interpretive Letter January 26, 2005 RESPONSE OF THE ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 248[Release Nos. 34-50781, IA-2332, IC-26685; File No. S7-33-04]RIN 3235-AJ24Disposal of Consumer Report InformationAGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Securities ...

The Commission is adopting a new rule and rule amendments under the Investment Advisers Act of 1940. The new rule and amendments require advisers to ...