Investment Management

Investment Advisers Act of 1940 – Section 206(4) Citigroup Global Markets Inc. August 6, 2014 Response of the Chief Counsel’s Office Division Of Investment Management ...

    July 28, 2014 Your letter dated July 28, 2014 requests our assurance that we would not recommend enforcement action to the Securities and ...

Credit Suisse AG, May 20, 2014 May 20, 2014 We would not recommend enforcement action to the United States Securities and Exchange Commission (“Commission”) under ...

The Gabelli Convertible & Income Securities Fund Inc., et al. Securities Act of 1933 – Section 5(b) or Section 6(a) The Gabelli Convertible & Income ...

    Securities Exchange Act of 1934 — Rule 14a-8(i)(5) JP Morgan Municipal Money Market Fund April 15, 2014 Frank J. Nasta Secretary JP Morgan ...

    Investment Company Act – Section 7(a) Invesco Advisers, Inc. April 8, 2014 Your letter dated March 20, 2014 requests our assurance that we ...

    Investment Company Act of 1940 — Section 15(a) RS Global Natural Resources Fund March 6, 2014 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...

No-Action Letter: MEAG MUNICH ERGO, (February 14, 2014) Investment Company Act of 1940 – Section 203(a) February 14, 2014   Your letter dated February 14, ...

No-Action Letter: Nuveen Investment Funds, February 14, 2014 Investment Company Act of 1940 – Rule 17(e)(1) February 13, 2014 Your letter dated February 12, 2014 ...

    Investment Company Act of 1940 — Section 17(f)(1) and Section 26(a) The Brink's Company February 11, 2014 RESPONSE OF THE OFFICE OF CHIEF ...