RCW Staff
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release No. IC-25557, File No. S7-13-02] RIN 3235-AI28 Transactions of Investment Companies With Portfolio and Subadvisory Affiliates AGENCY:Securities ...
No-Action Letter under: Investment Company Act — Section 26(c) The American Enterprise Life Insurance Company April 30, 2002 RESPONSE OF THE OFFICE OF INSURANCE PRODUCTS ...
NFA Member FCMs and IBs that solicit or accept orders or carry accounts for security futures products are also required to be registered as broker-dealers ...
No-Action Letter under: Investment Company Act – Section 2(a)(19)(A)(iv) Ballard Spahr Andrews & Ingersoll, LLP April 3, 2002 Response of the Office of Chief Counsel ...
Final Rule:Approved Information Collections SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 200 RELEASE NOS. 33-8071; 34-45601 35-27505; 39-2396; IC-25471; and IA-2021 Approved Information Collections AGENCY: ...
Temporary Final Rule and Final Rule:Requirements for Arthur Andersen LLP Auditing Clients SECURITIES AND EXCHANGE COMMISSION 17 CFR PARTS 210, 228, 229, 230, 240, 249 ...
No-Action Letter under:Securities Exchange Act of 1934 – Rule 14a-8(i)(3) MuniYield Insured Fund, Inc. March 11, 2002 Frank P. Bruno, Esq. Sidley Austin Brown & ...
No-Action Letter under:Investment Company Act – Sections 17(a) and 12(d)(3) Evergreen Investment Management Company, LLC February 13, 2002 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...
No-Action Letter under: Investment Company Act of 1940 – Rule 0-1(a)(6); 2a-19 Investment Company Institute February 12, 2002 Craig S. Tyle, Esq. General Counsel Investment ...
No-Action Letter under: Investment Company Act of 1940 – Sections 6(c), 18(f), 21(b), 12(d)(1)(j), 12(d)(1), 17(b), 17(a)(1), 17(a)(3), 17(d) Rule 17d-1 AIM Advisors, Inc. February ...