No-Action Letters

    Investment Advisers Act of 1940 — Rules 204-2(a), (b) and (g) Omgeo LLC August 14, 2009   RESPONSE OF THE OFFICE OF CHIEF ...

No-Action Letter: Franklin Templeton Investments (November 21, 2008) Investment Company Act of 1940 — Section 17(d) and Rule 17d-1 Franklin Templeton Investments November 21, 2008 ...

    Investments Advisers Act of 1940 Section 206(4) and Rule 206(4)-1(a)(2) The TCW Group, Inc. November 7, 2008   RESPONSE OF THE OFFICE OF ...

This no-action letter from the SEC in 2007 concerns so-called hedge clauses in client indemnification agreements. The SEC withdrew this letter in 2019.

This SEC Division of Investment Management no-action letter deals with use of performance data from a PM's prior firm being applied to an advertisement.

This no-action letter relates to showing predecessor performance data in advertising and marketing.

This no-action letter concerns section 205(2) of the Advisers Act.

This SEC no-action letter addresses use of predecessor performance data in advertising and marketing.

This SEC no-action letter provides guidance on use of performance data achieved prior to joining a firm, for advertising and marketing purposes.

This is the SEC's 2005 no-action letter that shed light on use of testimonials in advertising and marketing.