IA Rules & Regulatory Actions

Dechert LLP: No-Action letter dated August 4, 2009 Investment Company Act of 1940 — Section 12(d)(1) Dechert LLP August 4, 2009 RESPONSE OF THE OFFICE ...
No-Action Letter: Maxim Series Fund, Inc., et al. (July 31, 2009) Investment Company Act of 1940 — Sections 9(a), 13(a), 15(a) and 15(b) Maxim Series ...
No-Action Letter: Straight-A Funding, LLC (July 28, 2009) Investment Company Act of 1940 — Sections 34(b), 35(d) and Rules 2a-7 and 35d-1 Straight-A Funding, LLC ...
The SEC's proposed rule related to proxy disclosures related to the 33 and 34 Act as well as the investment Company Act. This proposal was ...
This is a final rule released by the SEC in 2009, entitled Interactive Data for Mutual Fund Risk/Return Summary. This affects open-end management mutual funds ...
Madison Asset Management, LLC, et al.: No-Action letter dated June 30, 2009 Investment Company Act of 1940 — Section 12(d)(1)(A), 12(d)(1)(B) and 15(a) Madison Asset ...
American Capital, Ltd: No-Action letter dated June 30, 2009 Investment company Act of 1940 — Sections 18(a)(1)(B) and 61(a)(1) American Capital, Ltd June 30, 2009 ...
Franklin Templeton Investments: No-Action letter dated June 19, 2009 Investment Company Act of 1940 — Sections 18(a)(1), 18(c) and 18(f)(1) Franklin Templeton Investments June 19, ...
RBC Capital Markets Corporation: No-Action letter dated June 10, 2009 Investment Advisers Act of 1940 — Rule 206(4)-3 RBC Capital Markets Corporation June 10, 2009 ...
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