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SECURITIES AND EXCHANGE COMMISSION17 CFR Part 275[Release Nos. 34-50979; IA-2339; File No. S7-25-99] RIN 3235-AH78Certain Broker-Dealers Deemed Not To Be Investment AdvisersAGENCY:Securities and Exchange Commission.ACTION:Adoption ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 275[Release Nos. 34-50980; IA-2340; File No. S7-25-99]RIN 3235-AH78Certain Broker-Dealers Deemed Not To Be Investment AdvisersAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The ...
Investment Advisers Act of 1940 – Section 205(a)(1) Pacific Select Fund, et al. December 23, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...
Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-3 American International Group, Inc. December 8, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...
Trainer, Wortham & Co. Froley, Revy Investment Co. Starbuck, Tisdale & Assoc. December 6, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...
Investment Company Act of 1940 – Section 30 and Rule 30a-2, 30a-3 College and University Facility Loan Trust One, et al. November 29, 2004 RESPONSE ...
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