Investment Advisers Archives | Page 1453 of 1490

SEC Approves Amendments to NASD Rule 3012 to Require Members Relying on Rule 3012’s...

Advertising/Marketing

RCW Staff -

February 14 2006

SECURITIES OFFERING REFORM; CORRECTION

Soft Dollars

RCW Staff -

February 13 2006

SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 229 and 230[RELEASE NOS. 33-8591A; 34-52056A; IC-26993A; FR-75AINTERNATIONAL SERIES RELEASE NO. 1294A]FILE NO. S7-38-04RIN 3235-AI11SECURITIES OFFERING REFORM; CORRECTIONAGENCY:Securities and ...

EXECUTIVE COMPENSATION AND RELATED PARTY DISCLOSURE

Advisory Agreements

RCW Staff -

January 27 2006

Request for Extension of Compliance Dates for Rule 202(a)(11)-1(b)(2) (S7-25-99)

Investment Advisers

RCW Staff -

January 20 2006

Bramwell Growth Fund No-Action Letter (1996)

Advertising/Marketing

Carl Ayers -

January 20 2006

This SEC Division of Investment Management no-action letter deals with use of performance data from a PM's prior firm being applied to an advertisement.