SECURITIES AND EXCHANGE COMMISSION17 CFR Part 202Release No. 34-53638RIN 3235-AJ55Policy Statement Concerning Subpoenas to Members of the News MediaAGENCY:Securities and Exchange Commission.ACTION:Policy Statement.SUMMARY:The Securities and ...
The Securities and Exchange Commission ("Commission" or "SEC") is making technical amendments to Form ADV under the Investment Advisers Act of 1940 ("Advisers Act"). Form ...
Ameriprise Financial Services, Inc.: No-Action letter dated August 31, 2005 Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-3 Ameriprise Financial Services Inc. ...
Putnam Premier Income Trust – Frank H. Goodson: No-Action letter dated March 14, 2006 Securities Exchange Act of 1934 – Rule 14a-8(i)(3) and 14a-8(l) Putnam ...
Putnam High Income Securities Fund – Robert P. Laukat: No-Action letter dated March 14, 2006 Securities Exchange Act of 1934 – Rule 14a-8(i)(3) and 14a-8(1) ...
Millennium Partners, L.P., et al: No-Action letter dated March 9, 2006 Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-3 Millennium Partners, L.P., ...