First Great-West Life & Annuity Insurance Company & Canada Life Insurance Company of New York: No-Action Letter / December 22, 2005 Securities Act of 1933 ...
Investment Company Act of 1940 – Section 17(a) GE Institutional Funds December 21, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL GE Institutional Funds DIVISION ...
No-Action Letter under Securities Exchange Act of 1934 – Rule 10A-3 and Form N-SAR and N-CSR The Pioneer Funds December 20, 2005 RESPONSE OF THE ...
No-Action Letter under Investment Advisers Act of 1940 — Section 202(a)(11)(c) and Rule 202(a)(11)-1
No-Action Letter under Investment Advisers Act of 1940 — Section 202(a)(11)(c) and Rule 202(a)(11)-1 Securities Industry Association December 16, 2005 Mr. Ira D. Hammerman Senior ...
No-Action Letter Under Investment Company Act of 1940 — Section 17(d) and Rule 17d-1 Investment Company Institute December 14, 2005 Elizabeth Krentzman, General Counsel Investment ...
Investment Advisers Act of 1940: Section 203(b)(3) and Rule 203(b)(3)-1 and 203(b)(3)-2 ABA Subcommittee on Private Investment Entities December 8, 2005 Robert Todd Lang, Chair, ...
This is the SEC's 2005 no-action letter that shed light on use of testimonials in advertising and marketing.
Investment Company Act of 1940 – Rule 12b-1 and Section 18(f), 22(d) and 48(a) E*TRADE Securities, LLC November 30, 2005 RESPONSE OF THE OFFICE OF ...
Investment Advisers Act of 1940 – Rule 204A-1, 206(4)-7 and Section 204A, 203(e)(6) Investment Company Act of 1940 – Rule 17j-1 National Compliance Service November ...