IA Rules & Regulatory Actions

SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 201 [Release Nos. 33-8530; 34-51136; IA-2348; IC-26748] Adjustments to Civil Monetary Penalty Amounts AGENCY: Securities and Exchange Commission. ...
Investment Advisers Act of 1940 – Rule 206(4)-3 Morgan Stanley & Co. Incorporated February 4, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...
Investment Company Act of 1940 – Section 2(a)(42) and 17(a) Wells Fargo Alternative Asset Management, LLC – Interpretive Letter January 26, 2005 RESPONSE OF THE ...
The Commission is adopting a new rule and rule amendments under the Investment Advisers Act of 1940. The new rule and amendments require advisers to ...
Investment Advisers Act of 1940 – Section 205(a)(1) Pacific Select Fund, et al. December 23, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...
Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-3 American International Group, Inc. December 8, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...
Trainer, Wortham & Co. Froley, Revy Investment Co. Starbuck, Tisdale & Assoc. December 6, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...
Investment Company Act of 1940 – Section 30 and Rule 30a-2, 30a-3 College and University Facility Loan Trust One, et al. November 29, 2004 RESPONSE ...
Investment Company Act of 1940 – Section 31(a) and Rule 31a-2 Application of Rule 38a-1 to a Closed-End Investment Company’s Principal Underwriters November 10, 2004 ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26591; File No. S7-09-04]RIN 3235-AJ07Prohibition on the Use of Brokerage Commissions to Finance DistributionAGENCY:Securities and Exchange Commission.ACTION:Final ...
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