Associations/Trade Groups

Your comments are welcomed by Feb. 2 on proposed changes to disciplinary rules by the Certified Financial Planner Board of Standards. The proposal modifies the ...

Let the lobbying begin. With President-elect Barack Obama promising "a substantial overhaul" of the financial services industry, various players are jockeying for a spot on ...

No-Action Letter Under Investment Company Act of 1940 — Section 17(d) and Rule 17d-1 Investment Company Institute December 14, 2005 Elizabeth Krentzman, General Counsel Investment ...

Investment Company Act of 1940 – Section 31(a) and Rule 31a-2 Application of Rule 38a-1 to a Closed-End Investment Company’s Principal Underwriters November 10, 2004 ...

No-Action Letter under: Investment Company Act of 1940 – Rule 0-1(a)(6); 2a-19 Investment Company Institute February 12, 2002 Craig S. Tyle, Esq. General Counsel Investment ...