This is an SEC no-action letter from 2004 providing guidance on the use of past-specific recommendations in firm advertising and marketing.
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 239 and 274 [Release Nos. 33-8347; 34-48939; IC-26298; File No. S7-28-03] RIN 3235-AI95 DISCLOSURE OF BREAKPOINT DISCOUNTS BY MUTUAL ...
This is the final SEC rule commonly known as "the compliance rule." It establishes compliance obligations for investment advisers and investment companies. It came out ...
Investment Advisers Act of 1940 – Rule 206(4)-4(b) Kirkpatrick & Lockhart LLP January 28, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...
Securities Exchange Act of 1940 Section 3( c)(1)(A) Shee Atika Investments, LLC January 20, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL Our Ref. No. ...
Investment Company Act of 1940 Section 17(f) and Rule 17f-2 Maxim Series Fund Inc. January 15, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL Our ...
No-Action Letter under Investment Company Act of 1940 — Section 7(a) First Data Corporation January 13, 2004 Response of the Office of Chief Counsel Division ...
Securities and Exchange Commission 17 CFR Parts 228, 229, 240, 249, 270 and 274 [Release Nos. 33-8340; 34-48825; IC-26262; File No. S7-14-03] RIN 3235-AI90 Disclosure ...