Investment Management

Investment Advisers Act of 1940 Section 206(4) and Rules 206(4)-3 Bear, Stearns & Company Inc. October 31, 2003 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...

Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 Credit Suisse First Boston LLC f/k/a Credit Suisse First Boston Corporation October 31, 2003 RESPONSE ...

Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 Morgan Stanley & Company October 31, 2003 RESPONSE OF THE OFFICE OF CHIEF COUNSEL IM ...

Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 U.S. Bancorp Piper Jaffray Inc. October 31, 2003 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...

Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 Goldman, Sachs & Company October 31, 2003 RESPONSE OF THE OFFICE OF CHIEF COUNSEL IM ...

Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. October 31, 2003 RESPONSE OF THE ...

Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 UBS Securities LLC (f/k/a UBS Warburg LLC) October 31, 2003 RESPONSE OF THE OFFICE OF ...

Investment Advisers Act of 1940 – Rule 206(4)-3 James DeYoung October 24, 2003 RESPONSE OF THE OFFICE OF CHIEF COUNSEL Our Ref. No. 200385177Mr. James ...

Investment Company Act of 1940 Sections 6�, 17(b), 12(d)(i)(j) and Rule 17d-1 MTB Group of Funds October 21, 2003 RESPONSE OF THE OFFICE OF INVESTMENT ...

No-Action Letter under Investment Advisors Act of 1940 — Section 206(4) and Rule 206(4)-3 Dougherty & Company LCC, Mr. Thomas Abood July 3, 2003 Response ...