RCW Staff
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-48949; File No. S7-13-03]RIN 3235-AI87Recordkeeping Requirements for Registered Transfer AgentsAGENCY:Securities and Exchange Commission ("Commission").ACTION: Final rule.SUMMARY:The ...
Investment Advisers Act of 1940 – Rule 206(4)-4(b) Kirkpatrick & Lockhart LLP January 28, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249 [Release No. 34-49104; File No. S7-05-04] Collection Practices under Section 31 of the Exchange ActAGENCY:Securities and ...
Securities Exchange Act of 1940 Section 3( c)(1)(A) Shee Atika Investments, LLC January 20, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL Our Ref. No. ...
Investment Company Act of 1940 Section 17(f) and Rule 17f-2 Maxim Series Fund Inc. January 15, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL Our ...
No-Action Letter under Investment Company Act of 1940 — Section 7(a) First Data Corporation January 13, 2004 Response of the Office of Chief Counsel Division ...
Securities and Exchange Commission 17 CFR Parts 228, 229, 240, 249, 270 and 274 [Release Nos. 33-8340; 34-48825; IC-26262; File No. S7-14-03] RIN 3235-AI90 Disclosure ...
Securities Act of 1933 – Section 5 and Rule 145 Investment Company Act of 1940 – Section 8 and 11 Acacia National Life Insurance Company ...