Investment Management

    Investment Company Act of 1940 – Section 7 and Rule 3c-5 Managed Funds Association February 6, 2014 Response of the Investment Adviser Regulation ...

Ms. Stephanie Hibler January 24, 2014 We would not recommend enforcement action to the Securities and Exchange Commission (“Commission”) under Section 206(4) of the Investment ...

The Mexico Fund, Inc. Securities Act of 1933 – Rule 486(b) The Mexico Fund, Inc. December 31, 2013 Your letter dated December 31, 2013 requests ...

      Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 ICE Clear Credit LLC December 26, 2013 In a letter to ...

    Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 Chicago Mercantile Exchange December 26, 2013 In letters to you dated September ...

No-Action Letter: LCH.Clearnet Limited and LCH.Clearnet LLC (December 26, 2013) Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 LCH.Clearnet Limited and LCH.Clearnet ...

RBS Securities Inc. November 26, 2013 We would not recommend enforcement action to the United States Securities and Exchange Commission (“Commission”) under Section 206(4) of ...

ABA Retirement Funds Securities Act of 1933 — Section 5, Rule 180 ABA Retirement Funds November 25, 2013 Your letter, dated November 25, 2013, requests ...

No-Action Letter: Main Street Capital Corporation (June 20, 2011) Investment Company Act of 1940 –Section 12(d)(3) Main Street Capital Corporation November 7, 2013 Your letter, ...

    Investment Company Act of 1940 – Section 206(4) and Rule 206(4)-2 Robert Van Grover, Esq., Seward & Kissel LLP On two prior occasions, ...