Investment Management

      Investment Company Act of 1940 — Section 6(b), Rule 6b-1 Tudor Employee Investment Fund LLC and Tudor Investment Corporation April 28, 2015 ...

      Securities Exchange Act of 1934 — Rule 14a-8 Opportunity Partners L.P. Shareholder Proposal (Clough Global Equity Fund) April 16, 2015 Clifford J. ...

      Investment Company Act of 1940 — Sections 12(d)(1)(A) and (B) and 17(a) Franklin Templeton Investments April 3, 2015 RESPONSE OF THE OFFICE ...

      Securities Exchange Act — Rule 14a-8(i)(7) Tom DeWard Shareholder Proposal (LMP Real Estate Income Fund, Inc.), (March 25, 2015) March 25, 2015 ...

This no-action letter from the SEC in 2015 relieves an investment adviser of certain requirements under the custody rule.

      Securities Act of 1933 — Rule 482 American Retirement Association February 18, 2015 Response of the Office of Chief Counsel Division of ...

Securities Exchange Act of 1934 – Rule 14a-8 February 18, 2015 Kathleen K. Clarke Seward & Kissel LLP 901 K Street, NW Washington, DC 20001 ...

    Investment Advisers Act of 1940 – Section 202(a)(11)(D) Jonathon Hendricks January 26, 2015 Response of the Chief Counsel's Office Division of Investment Management ...

This is the 2015 rendition of the biannual no-action letter from the SEC's Division of Trading & Markets allowing broker-dealers through the customer identification (CIP) ...

This section is a nonexclusive safe harbor from the definition of investment company for programs that provide discretionary investment advisory services to clients