This is a final rule released by the SEC in 2009, entitled Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies. ...
No-Action Letter: Regions Morgan Keegan Funds (March 30, 2009) Investment Company Act of 1940 — Section 17(a) Regions Morgan Keegan Funds March 30, 2009 RESPONSE ...
UBS AG: No-Action letter dated March 20, 2009 Investment Advisers Act of 1940 — Rule 206(4)-3 UBS AG March 20, 2009 RESPONSE OF THE OFFICE ...
No-Action Letter: Automated Trading Desk Specialists, LLC (March 13, 2009) Investment Advisers Act of 1940 – Rule 206(4)-3 Automated Trading Desk Specialists, LLC March 13, ...
No-Action Letter: E*Trade Capital Markets LLC (March 12, 2009) Investment Advisers Act of 1940 — Section 206(4) and Rule 206(4)-3 E*Trade Capital Markets LLC March ...
No-Action Letter: Kohlberg Capital Corporation (March 12, 2009) Investment Company Act of 1940 – Section 23(b) and 63 Kohlberg Capital Corporation March 12, 2009 RESPONSE ...
No-Action Letter: Investment Company Institute (March 12, 2009) Investment Company Act – Sections 2(a)(3)(A), 2(a)(3)(C), 2(a)(9), 18(a)(2)(C), 18(a)(2)(D) Investment Company Institute March 12, 2009 RESPONSE ...