Investment Management

The SEC issued this no-action letter permitting a private equity entity or one of its funds to purchase shares in foreign funds in excess of ...

BAC Home Loans Servicing, LP (formerly Countrywide Home Loans Servicing LP) Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-3 BAC Home Loans ...

    Investment Advisers Act of 1940 — Rule 206(4)-3 UBS Financial Services Inc. May 9, 2011 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION ...

No-Action Letter: College Retirement Equities Fund (“Fund”) Shareholder Proposal of Aaron Levitt (May 6, 2011) Securities Exchange Act of 1934 — Rule 14a-8(i)(7) College Retirement ...

Bank of America Corporation and Affiliates (“BAC”): No Action, Interpretive and/or Exemptive Letter of April 29, 2011 Securities Exchange Act of 1934 Section 16 Investment ...

No-Action Letter: New Mountain Finance Corporation (April 27, 2011) Investment Company Act of 1940 — Section 55(a) New Mountain Finance Corporation April 27, 2011 RESPONSE ...

Deutsche Bank Microcredit Development Fund, Inc.: No Action, Interpretive and/or Exemptive Letter of April 8, 2011 Securities Act of 1933 Section 3(a)(4) April 8, 2011 ...

No-Action Letter: Nationwide Mutual Funds, et al. (April 5, 2011) Investment Company Act of 1940 — Section 15(a) Nationwide Mutual Funds, et al. April 5, ...

    Securities and Exchange Act of 1934 — Section 14(a) and Rule 14a-8(i)(11) Omission of Shareholder Proposal Pursuant to Rule 14a-8 for H&Q Life ...

    Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 Chicago Mercantile Exchange March 24, 2011 RESPONSE OF THE OFFICE OF CHIEF ...