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This is an SEC no-action letter from 2004 providing guidance on the use of past-specific recommendations in firm advertising and marketing.
Investment Advisers Act of 1940 – Rule 206(4)-4(b) Kirkpatrick & Lockhart LLP January 28, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...
Securities Exchange Act of 1940 Section 3( c)(1)(A) Shee Atika Investments, LLC January 20, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL Our Ref. No. ...
Investment Company Act of 1940 Section 17(f) and Rule 17f-2 Maxim Series Fund Inc. January 15, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL Our ...
No-Action Letter under Investment Company Act of 1940 — Section 7(a) First Data Corporation January 13, 2004 Response of the Office of Chief Counsel Division ...
Securities Act of 1933 – Section 5 and Rule 145 Investment Company Act of 1940 – Section 8 and 11 Acacia National Life Insurance Company ...
Securities Act of 1933 – Section 5 and Rule 145 Investment Company Act of 1940 – Section 8 and 11 Sun Life Assurance Company of ...
Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 Merrill Lynch, Pierce, Fenner & Smith Incorporated October 31, 2003 RESPONSE OF THE OFFICE OF ...
Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 Lehman Brothers October 31, 2003 RESPONSE OF THE OFFICE OF CHIEF COUNSEL IM Ref. No. ...