The final rule, released by the SEC in July 2010, for Form ADV amendments, including calling for a plain-English brochure for Form ADV Part 2
WilmerHale, LLP: No-Action letter dated July 28, 2010 Investment Company Act of 1940 — Section 17(j) and Rule 17j-1 Investment Advisers Act of 1940 — ...
No-Action Letter: Energy Income and Growth Fund and First Trust Active Dividend Income Fund (July 27, 2010) Securities Act of 1933 – Rule 486(b) Energy ...
No-Action Letter: ASA Limited (July 23, 2010) Investment Company Act of 1940—Section 12(d)(3) ASA Limited July 23, 2010 Your letter dated July 23, 2010 requests ...
No-Action Letter: CME Group, Inc. (July 16, 2010) Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 Chicago Mercantile Exchange July 16, 2010 ...
The final rule, released by the SEC in July 2010, related to so-called pay-to-play issues. This rule contains a two-year penalty for firms that violate ...
The SEC's proposed rule, released in June 2010, regarding changes in how target date funds are advertised. The changes would be designed to give investors ...
Accor Services: No-Action letter dated June 7, 2010 Investment Company Act of 1940 — Section 7(d) Accor Services June 7, 2010 Based on the facts ...
ABA Retirement Funds Program: No-Action letter dated June 7, 2010 Investment Company Act of 1940 — Sections 3(c)11 and 7 ABA Retirement Funds Program June ...