RCW Staff
No-Action Letter under: Investment Company Act —Section 6(a)(5)(a) Windamere Capital Ventures, L.P. July 23, 2001 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-44568; File No. S7-14-01RIN 3235 - AI23Request for Comment on the Effects of Decimal Trading in ...
No-Action Letter under: Securities Exchange Act of 1934 — Rule 14a-8(i)(10) Current Income Shares, Inc. July 10, 2001 Roy W. Adams, Jr., Esq. 1024 Country ...
COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 41 RIN 3038-AB77 SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 [Release No. 34-44475; File No. S7-11-01] RIN ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240, 248, and 249 [Release No. 34-44455; File No. S7-13-01] RIN 3235-AI21 Registration of Broker-Dealers Pursuant to Section 15(b)(11) ...
No-Action Letter under: Securities Exchange Act – Section 14(a) Pioneer Interest Shares June 20, 2001 Joseph P. Barri, Esq. Hale and Dorr LLP 60 State ...
No-Action Letter under: Investment Company Act – Section 11 National Association for Variable Annuities; Insurance Marketplace Standards Assn; American Council of Life Insurers June 19, ...
INTERNATIONAL DISCLOSURE STANDARDS; CORRECTION SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 239 and 249 [Release Nos. 33-7983; 34-44406 INTERNATIONAL SERIES RELEASE NO. 1249] FILE NO. ...
No-Action Letter under: Investment Advisors Act – Section 206(4) Rule 206-(4)-3 Legg Mason Wood Walker, Inc., et al. June 11, 2001 RESPONSE OF THE OFFICE ...
No-Action Letter under: Securities Exchange Act of 1934 – Rule 14a-8 Asia Pacific Fund Inc. – Caginalp June 8, 2001 Earl D. Weiner, Esq. Sullivan ...