RCW Staff
This is the proposed rule that details the compliance obligations of investment advisers and investment companies. This came out in 2003.
No-Action Letter under Investment Company Act of 1940 — Section 3(a) and 7 Investment Advisers Act of 1940 — Section 203(a) Tuition Plan Consortium, LLP ...
No-Action Letter under Investment Company Act of 1940 — Section 30(e); Rule 30e-1 Securities Act of 1933 — Section 5(b)(2) Lincoln National Life Insurance & ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240, 245 and 249[RELEASE NO. 34-47225; IC-25909; File No. S7-44-02]RIN 3235-AI71Insider Trades During Pension Fund Blackout PeriodsAGENCY:Securities and Exchange ...
Updated as of: January 23, 2003 Staff Responses to Questions about Regulation S-P The staff of the Division of Investment Management has prepared the following ...
The Commission is adopting rule amendments under the Investment Advisers Act of 1940 to exempt certain investment advisers that provide advisory services through the Internet ...
No-Action Letter under Investment Advisor Act of 1940 – Section 206 Constellation Financial Management LLC January 9, 2003 Response of the Office of Chief Counsel ...
Final Rule: Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-47013; File No. S7-18-02] RIN 3235-AI52 Repeal of the Trade-Through Disclosure Rules for Options AGENCY:Securities and ...
Final Rule: Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Annuity Contracts SECURITIES AND EXCHANGE ...