RCW Staff, Author at Regulatory Compliance Watch

Investment Advisers Act of 1940 – Rule 206(4)-4(b) Kirkpatrick & Lockhart LLP

Investment Advisers

January 28 2004

Investment Advisers Act of 1940 – Rule 206(4)-4(b) Kirkpatrick & Lockhart LLP January 28, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...

Collection Practices under Section 31 of the Exchange Act

Broker-Dealers

RCW Staff -

January 20 2004

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249 [Release No. 34-49104; File No. S7-05-04] Collection Practices under Section 31 of the Exchange ActAGENCY:Securities and ...

Securities Exchange Act of 1940 Section 3(c)(1)(A) Shee Atika Investments, LLC

Investment Advisers

RCW Staff -

January 20 2004

Securities Exchange Act of 1940 Section 3( c)(1)(A) Shee Atika Investments, LLC January 20, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL Our Ref. No. ...

Investment Company Act of 1940 Section 17(f) and Rule 17f-2 Maxim Series Fund Inc.

Investment Advisers

RCW Staff -

January 15 2004

Investment Company Act of 1940 Section 17(f) and Rule 17f-2 Maxim Series Fund Inc. January 15, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL Our ...

No-Action Letter under Investment Company Act of 1940 — Section 7(a) First Data Corporation

Investment Advisers

RCW Staff -

January 13 2004

No-Action Letter under Investment Company Act of 1940 — Section 7(a) First Data Corporation January 13, 2004 Response of the Office of Chief Counsel Division ...

Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors

PF Rules & Regulatory Actions

RCW Staff -

January 1 2004

Securities and Exchange Commission 17 CFR Parts 228, 229, 240, 249, 270 and 274 [Release Nos. 33-8340; 34-48825; IC-26262; File No. S7-14-03] RIN 3235-AI90 Disclosure ...