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RCW Staff

Investment Company Act of 1940 – Rule 3a-8 Ark Therapeutics Group plc April 15, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSELDIVISION OF INVESTMENT MANAGEMENT ...
The Securities and Exchange Commission is adopting a rule addressing the application of the Investment Advisers Act of 1940 to broker-dealers offering certain types of ...
Investment Company Act of 1940 – Section 15(a) and 2(a)(20) Mellon Equity Associates, LLP April 1, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSELDIVISION OF ...
Investment Company Act of 1940 – Section 2(a)(51) Trusts under the Will of Marion Searle March 29, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSELDIVISION ...
Securities Exchange Act of 1934 – Section 14(a) and Rule 14a8-(b)(1) Fidelity Magellan Fund – Shareholder Proposal of Walter J. Krieg March 10, 2005 Stuart ...
Investment Company Act of 1940 – Section 3(c)(1) and 3(c ) (7) The Goldman Sachs Group, Inc. March 8, 2005 RESPONSE OF THE OFFICE OF ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-50700; File No. S7-40-04RIN 3235-AJ36CONCEPT RELEASE CONCERNING SELF-REGULATIONAGENCY:Securities and Exchange Commission.ACTION:Concept release; Request for comment.SUMMARY:The Securities ...
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