Investment Management

No-Action Letter under Investment Advisers Act of 1940 — Section 202(a)(11)(c) and Rule 202(a)(11)-1 Securities Industry Association December 16, 2005 Mr. Ira D. Hammerman Senior ...

No-Action Letter Under Investment Company Act of 1940 — Section 17(d) and Rule 17d-1 Investment Company Institute December 14, 2005 Elizabeth Krentzman, General Counsel Investment ...

Investment Advisers Act of 1940: Section 203(b)(3) and Rule 203(b)(3)-1 and 203(b)(3)-2 ABA Subcommittee on Private Investment Entities December 8, 2005 Robert Todd Lang, Chair, ...

This is the SEC's 2005 no-action letter that shed light on use of testimonials in advertising and marketing.

Investment Company Act of 1940 – Rule 12b-1 and Section 18(f), 22(d) and 48(a) E*TRADE Securities, LLC November 30, 2005 RESPONSE OF THE OFFICE OF ...

Investment Advisers Act of 1940 – Rule 204A-1, 206(4)-7 and Section 204A, 203(e)(6) Investment Company Act of 1940 – Rule 17j-1 National Compliance Service November ...

No-Action Letter Under Investment Advisers Act of 1940 – Rule 202(a)(11)-1 Morgan, Lewis & Bockius LLP November 17, 2005 Investment Advisers Act of 1940 – ...

Securities Exchange Act of 1934 – Section 15(d) American Home Assurance Company, et. al., October 17, 2005 Response of the Office of Insurance Products Division ...

Investment Adviser Act of 1940 – Rule 202(a)(11)-1 Application of Rule 202(a)(11)-1 to a Broker-Dealer’s Exercise of Investment Discretion over Cash Management Accounts September 29, ...

RESPONSE OF THE OFFICE OF INVESTMENT COMPANY REGULATION DIVISION OF INVESTMENT MANAGEMENT Our Ref. No. 2005-1-ICR Evergreen Investment Management Company LLC Your letter of September ...