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SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 275 and 279[Release No. IA-2044; File No. S7-28-02]RIN 3235-AH 26Custody of Funds or Securities of Clients by Investment AdvisersAGENCY:ecurities ...

No-Action Letter under: Investment Company Act of 1940- Section 18(f), 22(d); Rule 12b-1, 22c-1 ReFlow Fund, LLC July 15, 2002 RESPONSE OF THE OFFICE OF ...

Department of the Treasury31 CFR Part 103 RIN 1506-AA33Securities and Exchange Commission17 CFR Part 270[Release No. IC-25657; File No. S7-26-02]Securities and Exchange Commission.Customer Identification Programs ...

Investment Adviser Act of 1940 – Section 203(b)(3) Thomson Financial Inc. July 10, 2002 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT MANAGEMENT ...

No-Action Letter under: Investment Company Act of 1940 – Section 12(d)(1)(e) PIMCO Funds July 9, 2002 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 240, 249, 270, and 274 [Release Nos. 34-46106 and IC-25621] RIN: 3235-AI53 Technical Amendments to Rules and Forms ...

SEC Interpretation: Commission Guidance on the Application of Certain Provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and Rules thereunder ...

COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 41 RIN 3038-AB86 SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-45956; File No. S7-15-01] RIN 3235-AI24 Cash ...

Final Rule:Admendment to Definition of "Equity Security" SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230 and 240 [Release Nos. 33-8091; 34-45769; File No. S7-11-02] RIN: ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 275 and 279 Release No. IA-2028; File No. S7-10-02 RIN 3235-AI15 Exemption for Certain Investment Advisers Operating Through the ...