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SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 239 and 274 [Release Nos. 33-8347; 34-48939; IC-26298; File No. S7-28-03] RIN 3235-AI95 DISCLOSURE OF BREAKPOINT DISCOUNTS BY MUTUAL ...
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. ...
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 ...
Concept Release: Concept Release: Request for Comments on Measures to Improve Disclosure of Mutual Fund Transaction Costs Securities and Exchange Commission [Release Nos. 33-8349; 34-48952; ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release No. IC-26288; File No. S7-27-03] RIN 3235-AJ01 Amendments to Rules Governing Pricing of Mutual Fund SharesAGENCY:Securities and ...
Final Rule: Management’s Report on Internal Control over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports SECURITIES AND EXCHANGE COMMISSION 17 CFR ...
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 ...
SECURITIES AND EXCHANGE COMMISSION RIN 3235-AH16 17 CFR Part 270 [Release No. IC-26031; File No. S7-26-02] DEPARTMENT OF THE TREASURY 31 CFR Part 103 RIN ...
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 ...