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 ...
No-Action Letter under: Investment Company Act of 1940 – Section 3(c)(1), 3(c)(7) H.E.B. Investment & Retirement Plan H.E. Butt Grocery Company May 18, 2001 RESPONSE ...
Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media under the Electronic...
SEC Interpretation:Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media under the Electronic Signatures in Global and National Commerce Act of 2000 with ...