No-Action Letters

This 1996 no-action letter from the SEC to Horizon Asset Management goes into the ability of firms to use a previous owner's performance data in ...

This is an SEC no-action letter from 1996 to Munder Capital Management that speaks of the use of advertising and marketing on the Internet.

This is the J.P. Morgan Investment Management no-action letter from the SEC in 1996 that provided additional guidance for advertising and marketing of model portfolios.

The SEC's Division of Investment Management granted Ayco Company "no-action" relief based on its request not to include in its advisory contracts a provision that ...

Because Schwab purchases and redeems MFMP investment company shares on behalf of its customers solely as broker Section 22ds restrictions do not apply to Schwab's ...

This is the famous Clover Capital Management no-action letter from the SEC in 1986. It opened up new ways for firms to provide advertising and ...

This is McEldowney Financial Services no-action letter from the SEC in 1986, which concerns use of arbitration clauses by an RIA.