Investment Management

Golub Capital Investment Corporation, et al. June 24, 2019   Investment Advisers Act of 1940 – Section 205(b)(3)   June 24, 2019 Response of the ...

Stradley Ronon Stevens & Young, LLP June 24, 2019 Investment Company Act of 1940 – Sections 5(b), 13(a)(1) and 34(b) June 24, 2019 RESPONSE OF ...

You also represent that in relying on the requested relief to sell common shares of beneficial interest, each Fund will sell newly issued shares ...

the Advisers continued to serve as investment advisers to certain series of the Quaker Investment Trust (the “Trust”) for a limited period of time pursuant ...

we would not recommend that the Commission take any enforcement action under Section 5(b) or Section 6(a) of the Securities Act against the Fund ...

We welcome input and engagement from all interested parties regarding the potential considerations posed by digital assets with respect to the Custody Rule.

You state that the purpose of your letter is to request from the staff a no-action position for certain situations where in-person voting requirements may ...

Staff Letter No-Action relief under Section 206(4) and Rule 206(4)-2 under the Investment Advisers Act of 1940 Dec. 20, 2018 Investment Advisers Act Section 206(4) ...

We would not recommend that the Commission take any enforcement action under Section 5(b) or Section 6(a) of the Securities Act against any Fund if ...

We agree that the position you are requesting from us is consistent with the Commission’s approach in adopting Rule 38a-1 and would allow boards to ...