Janus Aspen Series: No-Action letter dated April 10, 2008 Investment Company Act of 1940 — Section 26(c) Janus Aspen Series April 10, 2008 RESPONSE OF ...
The SEC's proposed Reg S-P from 2008. As of 2014, this proposal hadn't been finalized.
The Securities and Exchange Commission is proposing a new rule under the Investment Company Act of 1940 that would exempt exchange-traded funds (‘‘ETFs’’) from certain ...
This is the widely-publicized case of a number of Fidelity broker-dealer reps who settled for accepting extravagant gifts and entertainment. This case is from 2008.