This is an SEC no-action letter released in 1999 prompted by Goldman Sachs Asset Management. The letter concerns application of Advisers Act section 206(3). It ...
The Commission is making technical corrections to rules 204-1 and 202(a)(1)-1 under the Investment Advisers Act of 1940 ("Advisers Act"). Rule 204-1 was published Thursday, ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 279(Release No. IA-1733A; File No. S7-28-97)RIN 3235-AH22Final Rule; Technical changes to a Form.AGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Commission ...
This is a copy of the 1998 Franklin no-action letter that relates to quarterly reports to clients.
Final Rule: Registration Form Used by Open-End Management Investment Companies SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230, 232, 239, 240, 270, and 274 Release ...
Final Rule: Amendment to Rule 102(e) of the Commission’s Rules of Practice SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 201 (Release Nos. 33-7593; 34-40567; 35-26929; ...
The Commission is adopting a new rule and form under the Investment Advisers Act of 1940 that requires most registered investment advisers to file with ...
Final Rule: Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 274 (Release ...