Investment Management

    LCH.Clearnet Limited and LCH.Clearnet LLC December 19, 2014 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT MANAGEMENT Our Ref. No. 20141218162 ...

    ICE Clear Credit LLC December 19, 2014 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT MANAGEMENT Our Ref. No. 201412181554 File ...

    Chicago Mercantile Exchange December 19, 2014 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT MANAGEMENT Our Ref. No. 201412181148 File No. ...

Investment Advisers Act of 1940 – Rule 206-4(3) Royal Bank of Canada December 19, 2014 Response of the Chief Counsel’s Office Division Of Investment Management ...

Investment Company Act of 1940 — Sections 7(a) and 55(a) New Mountain Finance Corporation December 18, 2014 RESPONSE OF THE CHIEF COUNSEL’S OFFICE DIVISION OF ...

Investment Advisers Act of 1940 – Rule 206-4(3) Bank of America, N.A. Merrill Lynch, Pierce, Fenner & Smith Incorporated November 25, 2014 Response of the ...

Your letter dated October 31, 2014 requests our assurance that we would not recommend enforcement action to the Securities and Exchange Commission (“Commission”) under Section ...

Securities Exchange Act of 1934 – Rule 14a-8 November 6, 2014 Steven B. King Ballard Spahr LLP 1735 Market Street, 51st Floor Philadelphia, PA  19103-7599 ...

Securities Act of 1933 – Rule 486(b) Guggenheim Strategic Opportunities Fund October 2, 2014 Response of the Office of Chief Counsel Division Of Investment Management ...

    Investment Advisers Act of 1940 – Section 205(a)(1) Amerivest Investment Management, LLC August 19, 2014 Response of the Chief Counsel's Office Division Of ...