Investment Management

    Investment Advisers Act of 1940 — Rule 204-2(a)(18)(i)(B) Investment Company Institute September 12, 2011 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...

    Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 ICE Clear Credit LLC July 29, 2011 RESPONSE OF THE OFFICE OF ...

    Investment Company Act of 1940 — Section 17(f) LCH Clearnet Limited July 29, 2011 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...

    Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 Chicago Mercantile Exchange July 29, 2011 p>RESPONSE OF THE OFFICE OF CHIEF ...

    Investment Company Act of 1940 — Section 17(f) Chicago Mercantile Exchange – II July 29, 2011 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...

No-Action Letter: J.P. Morgan Securities LLC (July 11, 2011) Investment Advisers Act of 1940 – Section 206 and Rule 206(4)-3 J.P. Morgan Securities LLC July ...

No-Action Letter: J.P. Morgan Securities LLC (June 29, 2011) Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-3 J.P. Morgan Securities LLC June ...

No-Action Letter: Main Street Capital Corporation (June 20, 2011) Investment Company Act of 1940 – Section 32(a) and Rule 32a-4 Main Street Capital Corporation June ...