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Investment Advisers Act of 1940 — Section 203(a) Industrial Alliance, Investment Management Inc. March 14, 2012 RESPONSE OF THE OFFICE OF CHIEF ...
No-Action Letter: American Century Investment Management, Inc. (February 2, 2012) Investment Company Act – Section 15(a)(4) American Century Investment Management, Inc. February 2, 2012 RESPONSE ...
No-Action Letter: GE Funding Capital Market Services, Inc. (January 25, 2012) Investment Advisers Act of 1940 — Section 206 and Rule 206(4)-3 GE Funding Capital ...
Investment Advisers Act of 1940 — Sections 203(a) and 208(d) American Bar Association, Business Law Section January 18, 2012 RESPONSE OF THE OFFICE ...
Investment Company Act of 1940 — Section 7(d) Xplornet Communications Inc. January 11, 2012 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION ...
No-Action Letter: Integrity Life Insurance Co., National Integrity Life Insurance Co., Western-Southern Life Assurance Co., Touchtone Securities, Inc. (December 21, 2011) Securities Act of 1933 ...
No-Action Letter: Wells Fargo Bank, N.A. (December 12, 2011) Investment Advisers Act of 1940 – Section 206 and Rule 206(4)-3 Wells Fargo Bank, N.A. December ...
Investment Company Act of 1940 — Section 10(f) and Rule 10f-3 Columbia Funds December 12, 2011 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...
Securities Act of 1933 — Rule 482 Department of Labor October 26, 2011 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...
Investment Company Act of 1940 — Section 17(a), 17(d) and Rule 17d-1 Morgan Stanley Institutional Fund of Hedge Funds October 7, 2011 RESPONSE ...