Investment Management

No-Action Letter: Main Street Capital Corporation (June 20, 2011) Investment Company Act of 1940 –Section 12(d)(3) New Mountain Finance Corporation November 4, 2013 Your letter, ...

This 2013 no-action letter from the SEC's Division of Trading and Markets discussing when soft dollars would be appropriate for fixed-income transactions.

    Investment Advisers Act of 1940 — Section 17(f) Chicago Mercantile Exchange July 10, 2013 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...