The SEC voted 4-1 last month to classify equity-indexed annuities as securities, a move strongly opposed by the insurance industry because insurance agents will be ...
It's May 2007. In weeks, two hedge funds at Bear Stearns Asset Management would falter - triggering the plunge that touched off the world's current ...
Let's acknowledge upfront the difficulty in forecasting the year ahead - given the spectacular surprises 2008 unleashed, ones that would have defied prediction one year ...
No-Action Letter: Columbia Funds, et al. (December 23, 2008) Investment Company Act of 1940 — Section 17(a) Columbia Funds, et al December 23, 2008 RESPONSE ...
No-Action Letter: Citigroup Global Markets, Inc. (December 23, 2008) Investment Company Act of 1940 — Section 206(4) and Rule 206(4)-3 UBS Securities LLC/UBS Financial Services ...
No-Action Letter: Citigroup Global Markets, Inc. (December 23, 2008) Investment Advisers Act of 1940 — Rule 206(4)-3 Citigroup Global Markets, Inc. December 23, 2008 RESPONSE ...
No-Action Letter: Franklin Templeton Investments (November 21, 2008) Investment Company Act of 1940 — Section 17(d) and Rule 17d-1 Franklin Templeton Investments November 21, 2008 ...