RCW Staff
SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230, 232, 239, 240, 249, and 269 [Release Nos. 33-8099, 34-45922, International Series Release No. 1259; File No. ...
Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-46745; File No. S7-41-02] RIN 3235-AI19 Definition of Terms in and Specific Exemptions for Banks, Savings ...
No-Action Letter under Investment Company Act of 1940 – Section 34(b) Securities Act of 1933 – Section 5(b) Lindbergh Funds October 30, 2002 Response of ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200 [Release No. 34-46667] Delegation of Authority to the Director of the Division of Market Regulation AGENCY:Securities and Exchange ...
No-Action Letter under Investment Company Act of 1940 – Section 6( c), 12(d)(1)(j) and 17(b); Rule 17d-1 Frank Russell Investment Company, et al. October 18, ...
Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-46471; File No. S7-19-02]RIN 3235-AI50Confirmation Requirements for Transactions of Security Futures Products Effected in Futures AccountsAGENCY:Securities and ...
No-Action Letter under Investment Company Act of 1940 – section 3(c)(11) Honeywell International Inc Savings Plan Trust October 7, 2002 Response of the Office of ...
Commodity Futures Trading Commission17 CFR PARTS 1, 41 and 190SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240RIN 3235-AI32 [Release No. 34-46473; File No. S7-17-01] RIN 3038-AB76Applicability ...
COMMODITY FUTURES TRADING COMMISSION17 CFR Part 41RIN 3038-AB71SECURITIES AND EXCHANGE COMMISSION17 CFR Part 242Release No. 34-46292; File No. S7-16-01RIN 3235-AI22Customer Margin Rules Relating to Security ...
No-Action Letter under: Investment Company Act of 1940 – Section 17j and Rule 17j-1 Investment Advisers Act of 1940 – Section 204 and Rule 204-2 ...