SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release No. IC-24828A; File No. S7-11-97] RIN 3235-AH11 Investment Company Names; Correction AGENCY:Securities and Exchange Commission.ACTION:Correction to final ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 270 and 275 [Release No. IC-24890; IA-1932; File No. S7-06-01] RIN 3235-AI05 Electronic Recordkeeping by Investment Companies and Investment ...
Final Rule:Integration of Abandoned Offerings SECURITIES AND EXCHANGE COMMISSION 17 CFR PART 230 [RELEASE NO. 33-7943; File No. S7-30-98] RIN 3235-AG83 INTEGRATION OF ABANDONED OFFERINGS ...
No-Action Letter under: Investment Company Act – Sections 2(a)(32), 5(a)(1), 11(a), 18(f)(1), 34(b); Rule 11a-3 Fidelity Advisor Korea Fund, Inc March 7, 2001 RESPONSE OF ...
March 6, 2001 BY FACSIMILE AND U.S. MAIL William G. Farrar, Esquire Sullivan & Cromwell 125 Broad Street New York, New York 10004-2498 Re: The ...
Correction to Final Rule: Role of Independent Directors of Investment Companies SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 239, 240, 270 and 274 [Release Nos. ...
No-Action Letter under: Investment Company Act of 1940 – Sections 2(a)(32), 2(a)(35), 6(c), 11(a), 11(c), 17(a), 17(b), 22(d), 26(a)(2); Rule 22c-1 ING Mutual Funds Management ...
No-Action Letter under: Investment Advisors Act – Section 206(4); Rule 206(4)(3) Prudential Securities Inc. February 7, 2001 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION ...
Final Rule: Revision of the Commission’s Auditor Independence Requirements SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 210 and 240 [Release Nos. 33-7919; 34-43602; 35-27279; IC-24744; ...
Final Rule:Adjustments to Civil Monetary Penalty Amounts SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 201 [Release Nos. 33-7946; 34-43897; IA-1921; IC-24846] Adjustments to Civil Monetary ...