Investment Management

    Investment Company Act of 1940 — Section 22(d) Capital Group January 11, 2017 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...

You represent that as part of that process, the Board of each Investing Fund will consider, among other things, the calculation of the New Fees ...

    Investment Company Act of 1940 – Section 17(e) Russell Investment Management, LLC December 16, 2016 Your letter dated December 9, 2016 requests our ...

CenturyLink does not hold itself out to the public as an investment adviser, provides investment advice only to the Plans and the Foundation, and ...

You assert that, because investors in Contracts assume the same risks as variable contract owners who elect to receive the guaranteed lifetime income benefit, the ...

Absent adoption by the Public Company Accounting Oversight Board (“PCAOB”) of a permanent program for the inspection of broker and dealer auditors, the no-action position ...

Adviser sought to have three existing exemptive orders carry over to a newly merged entity. The SEC said yes.

You state that utilization of Rule 486(b) would help ensure that the Fund has the ability to raise capital as the opportunity arises, and could ...

We would not recommend enforcement action to the Commission under Section 17(f)(1) of the 1940 Act against a Fund if the Fund places and maintains ...

You argue that, because the Adviser Sub will be organized as a limited liability company, the proposed arrangement provides a level of insulation for the ...