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No-Action Letter: AXA Equitable Life Insurance Company, et al. (February 27, 2009) Investment Company Act of 1940 — Section 24(f) and Rule 24f-2 AXA Equitable ...
No-Action Letter: Wachovia Securities LLC (February 18, 2009) Investment Advisers Act of 1940 — Rule 206(4) and Section 206(4) Wachovia Securities LLC February 18, 2009 ...
Securities Exchange Act of 1934 Section 14 and Rule 14a-8(i)(7) American Capital, Ltd. February 5, 2009 Cydonii V. Fairfax Two Bethesda Metro Center, ...
No-Action Letter: Capital Trust, Inc (February 3, 2009) Investment Company Act of 1940 — Section 3(c)(5)(C ) Capital Trust, Inc February 3, 2009 RESPONSE OF ...
No-Action Letter: xx (date, 2009) Investment Company Act of 1940 – Section 15(a) and 15(c) Fortis Group January 27, 2009 RESPONSE OF THE OFFICE OF ...
No-Action Letter: xx (date, 2009) Investment Company Act of 1940 — Sections 2(a)(3)(A) and 2(a)(3)(C) Investment Advisers Act of 1940 — Section 206(3) Auction Rate ...
No-Action Letter: Columbia Funds, et al. (December 23, 2008) Investment Company Act of 1940 — Section 17(a) Columbia Funds, et al December 23, 2008 RESPONSE ...
No-Action Letter: Citigroup Global Markets, Inc. (December 23, 2008) Investment Company Act of 1940 — Section 206(4) and Rule 206(4)-3 UBS Securities LLC/UBS Financial Services ...
No-Action Letter: Citigroup Global Markets, Inc. (December 23, 2008) Investment Advisers Act of 1940 — Rule 206(4)-3 Citigroup Global Markets, Inc. December 23, 2008 RESPONSE ...