No-Action Letter under: Investment Company Act —Section 6(a)(5)(a) Windamere Capital Ventures, L.P. July 23, 2001 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-44568; File No. S7-14-01RIN 3235 - AI23Request for Comment on the Effects of Decimal Trading in ...
No-Action Letter under: Securities Exchange Act of 1934 — Rule 14a-8(i)(10) Current Income Shares, Inc. July 10, 2001 Roy W. Adams, Jr., Esq. 1024 Country ...
No-Action Letter under: Securities Exchange Act – Section 14(a) Pioneer Interest Shares June 20, 2001 Joseph P. Barri, Esq. Hale and Dorr LLP 60 State ...
No-Action Letter under: Investment Company Act – Section 11 National Association for Variable Annuities; Insurance Marketplace Standards Assn; American Council of Life Insurers June 19, ...
This speech from 2001 outlines SEC expectations for best execution and valuation, especially for fund advisers.
INTERNATIONAL DISCLOSURE STANDARDS; CORRECTION SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 239 and 249 [Release Nos. 33-7983; 34-44406 INTERNATIONAL SERIES RELEASE NO. 1249] FILE NO. ...
No-Action Letter under: Investment Advisors Act – Section 206(4) Rule 206-(4)-3 Legg Mason Wood Walker, Inc., et al. June 11, 2001 RESPONSE OF THE OFFICE ...
No-Action Letter under: Securities Exchange Act of 1934 – Rule 14a-8 Asia Pacific Fund Inc. – Caginalp June 8, 2001 Earl D. Weiner, Esq. Sullivan ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 270 and 275 [Release Nos. IC-24991 and IA-1945; File No. S7-06-01] RIN 3235-AI05 Electronic Recordkeeping by Investment Companies ...