Investment Management

This is an SEC no-action letter from the Division of Trading and Markets provided to the Certified Financial Planner Board of Standards in March 2011. ...

No-Action Letter: xx (date, 2010) Investment Company Act of 1940 — Section 17(f) LCH.Clearnet Limited March 16, 2011 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...

No-Action Letter: ICE Trust U.S. LLC (March 1, 2011) Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 ICE Trust U.S. LLC March ...

No-Action Letter: Lazard Global Total Return and Income Fund, Inc. and Lazard World Dividend & Income Fund, Inc. (February 15, 2011) Securities Exchange Act of ...

    Securities Exchange Act of 1934 — Rules 14a-8(i)(3) and (8) H & Q Life Sciences Investors February 4, 2011 Joseph R. Fleming, Esq. ...

No-Action Letter: Nuveen Asset Management, Inc., et al. (December 30, 2010) Investment Company Act of 1940 — Rule 17d-1 Nuveen Asset Management, Inc., et al. ...

No-Action Letter: CME Group, Inc. (December 3, 2010) Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 CME Group, Inc. December 3, 2010 ...