IA Rules & Regulatory Actions

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 230, 239, 270, and 274Release Nos. 33-7275; IC-21837; S7-34-93RIN 3235-AE17Revisions to Rules Regulating Money Market FundsAGENCY:Securities and Exchange Commission.ACTION: ...
This is an SEC no-action letter from 1996 to Munder Capital Management that speaks of the use of advertising and marketing on the Internet.
This is the J.P. Morgan Investment Management no-action letter from the SEC in 1996 that provided additional guidance for advertising and marketing of model portfolios.
The SEC's Division of Investment Management granted Ayco Company "no-action" relief based on its request not to include in its advisory contracts a provision that ...

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