Investment Management

We are unable to conclude that you have demonstrated objectively that the proposal is materially false or misleading, including by impugning the integrity of the ...

Until the questions identified above can be addressed satisfactorily, we do not believe that it is appropriate for fund sponsors to initiate registration of funds ...

As the Commission stated in adopting Rule 17f-6 under the 1940 Act, maintaining assets in an FCM’s custody is not without risk. As a result, ...

As the Commission stated in adopting Rule 17f-6 under the 1940 Act, maintaining assets in an FCM’s custody is not without risk.[14] As a result, ...

As the Commission stated in adopting Rule 17f-6 under the 1940 Act, maintaining assets in an FCM’s custody is not without risk.[16] As a result, ...

Based on the facts and representations set forth in your letter, we would not recommend that the Commission take any enforcement action under Section 5(b) ...

we would not recommend that the Commission take any enforcement action under Section 5(b) or Section 6(a) of the Securities Act against the Fund if ...

    Investment Company Act of 1940 – Section 17(d) / Rule 17d-1 October 26, 2017 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...

    Investment Company Act of 1940 and Rule 17d-1 thereunder, and Section 206 of the Investment Advisers Act of 1940 Investment Company Institute October ...

We would not recommend enforcement action to the Commission under Section 7 of the 1940 Act if the Redwood Subsidiaries treat their investments in the ...