RCW Staff
No-Action Letter under: Investment Advisors Act – Section 206(4) Stephens Inc. December 27, 2001 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT MANAGEMENT ...
No-Action Letter under:Securities Act of 1933 – Rule 145 Investment Company Act – Sections 5, 8 and 11 The Manufacturers Life Insurance Company December 27, ...
If money managers use commission dollars of their advised accounts to obtain research and brokerage services, Section 28(e) prevents them from being held to have ...
No-Action Letter under: Investment Company Act of 1940 – Section 17(d); Rule 17d-1 U.S. Bancorp Asset Management, Inc., et al. December 11, 2001 RESPONSE OF ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 242 [Release No. 34-43651; File No. S7-12-98] RIN 3235-AH41 Regulation of Alternative Trading Systems; Extension of Temporary Stay of ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 204[Release No. 34-44965]RIN 3235-AI34Debt Collection — Amendments to Collection Rules and Adoption of Wage Garnishment RulesAGENCY:Securities and Exchange Commission.ACTION:Final ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release No. IC-25266; File No. S7-22-01] RIN 3235-AG71 Custody of Investment Company Assets with a Securities Depository AGENCY:Securities ...
No-Action Letter under:Investment Company Act – Section 17(d) and Rule 17d-1 The Mexico Equity and Income Fund NOVEMBER 15, 2001 RESPONSE OF THE OFFICE OF ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release No. IC-25259, File No. S7-21-01] RIN 3235-AH81 Investment Company Mergers AGENCY:Securities and Exchange Commission ("Commission")..ACTION:Proposed ruleSUMMARY:The Commission ...
No-Action Letter under:Investment Company Act – Section 26(c) AIG Life Insurance Company – American International Life Assurance Company of New York November 6, 2001 RESPONSE ...