RCW Staff
No-Action Letter under: Investment Advisors Act – Section 205; and Rule 205-3 Seligman New Technologies Fund II, Inc. February 7, 2002 RESPONSE OF THE OFFICE ...
No-Action Letter under: Investment Company Act of 1940 – Section 2(a)(12) Federated Core Trust II, L.P. February 6, 2002 RESPONSE OF THE OFFICE OF ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-45371] Exemption of Transactions in Certain Options and Futures on Security Indexes from Section 31 of ...
Final Rule: Options Disclosure Document SECURITIES AND EXCHANGE COMMISSION 17 CFR PART 230 [RELEASE NO. 33-8049; File No. S7-19-98] RIN 3235-AH31 OPTIONS DISCLOSURE DOCUMENT Agency: ...
Final Rule: Disclosure of Equity Compensation Plan Information SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 228, 229, 240 and 249 [Release Nos. 33-8048, 34-45189; File ...
No-Action Letter under: Securities Exchange Act of 1934 – Rule 14a-8(b) and 14a-8(f) Asia Tiger Fund, Inc. January 31, 2002 Via First Class Mail Cynthia ...
Investment Advisers Act of 1940 – Sections 202(a)(11); 206(4) and Rule 206(4)-3 National Football...
No-Action Letter under:Investment Advisers Act of 1940 – Sections 202(a)(11); 206(4) and Rule 206(4)-3 National Football League Players Association January 25, 2002 RESPONSE OF THE ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-45291; File No. S7-02-02] Amendments to Rule 31-1, Securities Transactions Exempt From Transaction Fees AGENCY:Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 Release No. IC-25258; File No. S7-20-01RIN 3235-AI35 Actively Managed Exchange-Traded Funds AGENCY:Securities and Exchange Commission ("Commission"). ACTION:Concept release; ...
No-Action Letter under:Securities Exchange Act – Rule 14a-8(e)(2) The Asia Tigers Fund, Inc. December 28, 2001 VIA FIRST CLASS MAIL Cynthia G. Cobden, Esq. Simpson ...