No-Action Letter under Investment Company Act of 1940 — Section 7(a) First Data Corporation January 13, 2004 Response of the Office of Chief Counsel Division ...
Securities and Exchange Commission 17 CFR Parts 228, 229, 240, 249, 270 and 274 [Release Nos. 33-8340; 34-48825; IC-26262; File No. S7-14-03] RIN 3235-AI90 Disclosure ...
Securities Act of 1933 – Section 5 and Rule 145 Investment Company Act of 1940 – Section 8 and 11 Acacia National Life Insurance Company ...
Securities Act of 1933 – Section 5 and Rule 145 Investment Company Act of 1940 – Section 8 and 11 Sun Life Assurance Company of ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release No. IC-26288; File No. S7-27-03] RIN 3235-AJ01 Amendments to Rules Governing Pricing of Mutual Fund SharesAGENCY:Securities and ...
The Commission is adopting amendments to the custody rule under the Investment Advisers Act of 1940. The amendments modernize the rule by conforming the rule ...
Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 Merrill Lynch, Pierce, Fenner & Smith Incorporated October 31, 2003 RESPONSE OF THE OFFICE OF ...
Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 Lehman Brothers October 31, 2003 RESPONSE OF THE OFFICE OF CHIEF COUNSEL IM Ref. No. ...
Investment Advisers Act of 1940 Section 206(4) and Rules 206(4)-3 Bear, Stearns & Company Inc. October 31, 2003 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...
Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 Credit Suisse First Boston LLC f/k/a Credit Suisse First Boston Corporation October 31, 2003 RESPONSE ...