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No-Action Letter under Investment Company Act of 1940 — Section 7 and 3( c )(10) Mercy Investment Program, Inc. June 12, 2003 Response of the ...
No-Action Letter under Investment company Act of 1940 — Section 7(b) Metropolitan Insurance and Annuity Company June 6, 2003 Response of the Office of Chief ...
No-Action Letter under: Investment Company Act of 1940 – Section 6© and Rule 17(d) Neuberger Berman Management Inc. et. al. April 30, 2003 RESPONSE OF ...
No-Action Letter under Investment Advisers Act of 1940 — Section 206 and Rules 206(4)-3 Fahnestock & Company Inc. April 21, 2003 Response of the Office ...
No-Action Letter Under: Securities Exchange Act of 1934 – Rules 14a-8(i)(7) and (10) Tri-Continental Corporation March 25, 2003 Responses of the Office of Disclosure and ...
No-Action Letter under Investment Advisers Act of 1940 — Section 206 and Rule 206(4)-3 Dougherty & Company LLC March 21, 2003 Response of the Office ...
No-Action Letter under Investment Company Act of 1940 — Section 17(f) and Rule 17f-4 Fixed Income Clearing Corporation March 13, 2003 Response of the Office ...
March 6, 2003 Mark D. WigderJenkens & Gilchrist1445 Ross Avenue, Suite 3200Dallas, Texas 75202 Re: Request for no-action relief on behalf of Edward Mahaffy Dear ...
No-Action Letter under Investment Company Act of 1940 — Section 3(a) and 7 Investment Advisers Act of 1940 — Section 203(a) Tuition Plan Consortium, LLP ...
No-Action Letter under Investment Company Act of 1940 — Section 30(e); Rule 30e-1 Securities Act of 1933 — Section 5(b)(2) Lincoln National Life Insurance & ...