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Investment Company Act of 1940 – Section 31(a) and Rule 31a-2 Application of Rule 38a-1 to a Closed-End Investment Company’s Principal Underwriters November 10, 2004 ...
Investment Adviser Act of 1940 – Rule 206(4)-3 Thomas Weisel Partners LLC September 24, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...
Investment Advisers Act of 1940- Section 206(4) Rule 206(4)-3 Deutsche Bank Securities Inc. September 24, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...
Investment Advisors Act of 1940 – Rule 206(4)-6 Institutional Shareholder Services, Inc. September 15, 2004 Mari Anne Pisarri, Esq. Pickard and Djinis LLP 1990 M ...
Securities Act of 1933 – Section 5 and Rule 145 Investment Company Act of 1940 – Section 11 and 17(a) GE Life and Annuity Assurance ...
Investment Company Act of 1940 – Section 3( c)(10) Investment Advisor Act of 1940 – Section 203(b)(4) American Bible Society June 1, 2004 RESPONSE OF ...
Investment Advisers Act of 1940 – Rule 206(4)-6 Egan-Jones Proxy Services May 27, 2004 Kent S. Hughes Managing Director Egan-Jones Proxy Services 61 Station Road ...
Securities Exchange Act of 1934 – Rule 14a-8(i)(7) Medallion Financial Corp. May 11, 2004 Michael C. Carroll, Senior Vice President Medallion Financial Corp. 437 Madison ...