Investment Advisers Act of 1940 – Section 203(a) and 202(a)(11) Gulf Coast Venture Forum, Inc. August 21, 2002 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...
Investment Company Act of 1940 – Section 15(a), and Rule 18f-2 PIMCO Funds: Multi-Manager Series, et al August 6, 2002 RESPONSE OF THE OFFICE OF ...
The SEC is adopting amendments to the rule under the Investment Company Act of 1940 that permits mergers and other business combinations between certain affiliated ...
No-Action Letter under: Investment Company Act of 1940- Section 18(f), 22(d); Rule 12b-1, 22c-1 ReFlow Fund, LLC July 15, 2002 RESPONSE OF THE OFFICE OF ...
Investment Adviser Act of 1940 – Section 203(b)(3) Thomson Financial Inc. July 10, 2002 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT MANAGEMENT ...
No-Action Letter under: Investment Company Act of 1940 – Section 12(d)(1)(e) PIMCO Funds July 9, 2002 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...
SEC Interpretation: Commission Guidance on the Application of Certain Provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and Rules thereunder ...
Final Rule:Admendment to Definition of "Equity Security" SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230 and 240 [Release Nos. 33-8091; 34-45769; File No. S7-11-02] RIN: ...
Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Life Insurance Policies SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 270 [Release No. IC-25560; File No. S7-20-00] RIN 3235-AH57 Exemption for the Acquisition of Securities During the Existence ...