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 ...
No-Action Letter under: Investment Company Act – Sections 6(c), 11(a), 11(c), 12(d)(1)(J), 17(b) Investec Ernst & Company April 24, 2001 RESPONSE OF THE OFFICE OF ...
No-Action Letter under: Investment Company Act of 1940 — Section 6(c) Prudential Investment Management Services LLC Response of the Division of Investment Management SECURITIES AND ...
Final Rule: Disclosure of Mutual Fund After-Tax Returns; Extension of Compliance Date 17 CFR Parts 230, 239, 270, and 274 [Release Nos. 33-8010; 34-44850; IC-25175; ...
Final Rule: Disclosure of Mutual FundAfter-Tax Returns SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230, 239, 270, and 274 [Release Nos. 33-7941; 34-43857; IC-24832; File ...
No-Action Letter under: Investment Company Act of 1940 – Rule 17a-6 Longleaf Partners Funds Trust April 9, 2001 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...
No-Action Letter under: Securities Exchange Act – Section 14(a) The France Growth Fund, Inc. – Strome Hedgecap Fund April 6, 2001 RESPONSE OF THE DIVISION ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 270 [Release No. IC-24828; File No. S7-11-97] RIN 3235-AH11 Investment Company Names AGENCY:Securities and Exchange Commission.ACTION:Final rule; Request ...
No-Action Letter under:Securities Act of 1933 – Section 5 Nationwide Life Insurance Company March 16, 2001 RESPONSE OF THE OFFICE OF INSURANCE PRODUCTS DIVISION OF ...