No-Action Letters

No-Action Letter: Wells Fargo Bank, N.A. (December 12, 2011) Investment Advisers Act of 1940 – Section 206 and Rule 206(4)-3 Wells Fargo Bank, N.A. December ...

    Investment Company Act of 1940 — Section 10(f) and Rule 10f-3 Columbia Funds December 12, 2011 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...

      Securities Act of 1933 — Rule 482 Department of Labor October 26, 2011 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...

The SEC's Division of Investment Management assured Morgan Stanley last week that it wouldn't recommend enforcement action if its investment advisory firm participated in an ...

    Investment Company Act of 1940 — Section 17(a), 17(d) and Rule 17d-1 Morgan Stanley Institutional Fund of Hedge Funds October 7, 2011 RESPONSE ...

This is a no-action letter released by the SEC in September 2011 that gives investment companies relief from the agency's pay-to-play rule's requirements that advisers ...

    Investment Advisers Act of 1940 — Rule 204-2(a)(18)(i)(B) Investment Company Institute September 12, 2011 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...

    Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 ICE Clear Credit LLC July 29, 2011 RESPONSE OF THE OFFICE OF ...

    Investment Company Act of 1940 — Section 17(f) LCH Clearnet Limited July 29, 2011 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...

    Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 Chicago Mercantile Exchange July 29, 2011 p>RESPONSE OF THE OFFICE OF CHIEF ...