SECURITIES AND EXCHANGE COMMISSION17 CFR Part 232[Release Nos. 33-8633; 34-52708; 35-28053; 39-2440; IC-27139]RIN 3235-AG96Adoption of Updated EDGAR Filer ManualAGENCY:Securities and Exchange Commission.ACTION:Final rule.SUMMARY:The Securities and ...
Securities Exchange Act of 1934 – Section 15(d) American Home Assurance Company, et. al., October 17, 2005 Response of the Office of Insurance Products Division ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 232[Release Nos. 33-8612; 34-52477; 35-28033; 39-2439; IC-27070]RIN 3235-AG96Adoption of Updated EDGAR Filer ManualAGENCY:Securities and Exchange Commission.ACTION:Final rule.SUMMARY:The Securities and ...
Investment Adviser Act of 1940 – Rule 202(a)(11)-1 Application of Rule 202(a)(11)-1 to a Broker-Dealer’s Exercise of Investment Discretion over Cash Management Accounts September 29, ...
RESPONSE OF THE OFFICE OF INVESTMENT COMPANY REGULATION DIVISION OF INVESTMENT MANAGEMENT Our Ref. No. 2005-1-ICR Evergreen Investment Management Company LLC Your letter of September ...
Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-3 ING Bank NV August 31, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION ...
Investment Advisers Act of 1940 – Section 206(3) Credit Suisse First Boston, LLC August 31, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...
Securities Exchange Act of 1934 – Rule 14a-8(f)(1) Putnam Tax-Free Health Care Fund August 8, 2005 John W. Gerstmayr, Esquire Ropes & Gray LLP One ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26985; File No. S7-03-04]RIN 3235-AJ05Investment Company GovernanceAGENCY:Securities and Exchange Commission.ACTION:Commission Response to Remand by Court of Appeals.SUMMARY:The ...