No-Action Letter: xx (date, 2009) Investment Company Act of 1940 — Sections 2(a)(3)(A) and 2(a)(3)(C) Investment Advisers Act of 1940 — Section 206(3) Auction Rate ...
No-Action Letter: Columbia Funds, et al. (December 23, 2008) Investment Company Act of 1940 — Section 17(a) Columbia Funds, et al December 23, 2008 RESPONSE ...
No-Action Letter: Citigroup Global Markets, Inc. (December 23, 2008) Investment Company Act of 1940 — Section 206(4) and Rule 206(4)-3 UBS Securities LLC/UBS Financial Services ...
No-Action Letter: Citigroup Global Markets, Inc. (December 23, 2008) Investment Advisers Act of 1940 — Rule 206(4)-3 Citigroup Global Markets, Inc. December 23, 2008 RESPONSE ...
No-Action Letter: Franklin Templeton Investments (November 21, 2008) Investment Company Act of 1940 — Section 17(d) and Rule 17d-1 Franklin Templeton Investments November 21, 2008 ...
Investments Advisers Act of 1940 Section 206(4) and Rule 206(4)-1(a)(2) The TCW Group, Inc. November 7, 2008 RESPONSE OF THE OFFICE OF ...