No-Action Letters

No-Action Letter: Market Vectors ETF Trust, et al. (March 27, 2012) Investment Company Act of 1940 — Section 2(a)(32), 5(a)(1), 17(a), 22(d), 22(e) and Rule ...

      Investment Advisers Act of 1940 — Section 203(a) Industrial Alliance, Investment Management Inc. March 14, 2012 RESPONSE OF THE OFFICE OF CHIEF ...

This is a 1997 no-action letter from the SEC to Lamp Technologies that covers use of a web site and advertising and solicitation of a ...

This is a 1998 no-action letter from the SEC to Lamp Technologies. This follows on a 1997 no-action letter, also to Lamp Technologies, that also ...

No-Action Letter: American Century Investment Management, Inc. (February 2, 2012) Investment Company Act – Section 15(a)(4) American Century Investment Management, Inc. February 2, 2012 RESPONSE ...

No-Action Letter: GE Funding Capital Market Services, Inc. (January 25, 2012) Investment Advisers Act of 1940 — Section 206 and Rule 206(4)-3 GE Funding Capital ...

    Investment Advisers Act of 1940 — Sections 203(a) and 208(d) American Bar Association, Business Law Section January 18, 2012 RESPONSE OF THE OFFICE ...

      Investment Company Act of 1940 — Section 7(d) Xplornet Communications Inc. January 11, 2012 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION ...

No-Action Letter: Integrity Life Insurance Co., National Integrity Life Insurance Co., Western-Southern Life Assurance Co., Touchtone Securities, Inc. (December 21, 2011) Securities Act of 1933 ...

The facts of the case are unique but other advisers still should benefit from a new SEC no-action letter that loosens up Investment Company Act ...