RCW Staff

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26356; File No. S7-09-04] RIN 3235-AJ07Prohibition on the Use of Brokerage Commissions to Finance DistributionAGENCY:Securities and Exchange ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release No. IC-26375A; File No. S7-11-04] RIN 3235-AJ17Mandatory Redemption Fees for Redeemable Fund SecuritiesAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The ...

All performance information must be presented in a manner that is balanced and is not misleading. CTAs have an obligation to disclose all material information ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240, 275 and 279[Release Nos. 34-49639, IA-2232; File No. S7-20-04]RIN 3235-AI16Certain Thrift Institutions Deemed Not To Be Investment AdvisersAGENCY:Securities ...

No-Action Letter under: Investment Company Act of 1940 – Section 7(d) and 12(d)(1)(e) Man-Glenwood Lexington TEI, LLC and Man-Glenwood Lexington TEI, LDC April 30, 2004 ...

Investment Company Act of 1940 – Sections 6(c), 11(a), 11(c), 12(d)(1)(j), and 17(b) Fixed Income Securities, L.P. April 29, 2004 RESPONSE OF THE OFFICE OF ...