Putnam Premier Income Trust – Frank H. Goodson: No-Action letter dated March 14, 2006 Securities Exchange Act of 1934 – Rule 14a-8(i)(3) and 14a-8(l) Putnam ...
Putnam High Income Securities Fund – Robert P. Laukat: No-Action letter dated March 14, 2006 Securities Exchange Act of 1934 – Rule 14a-8(i)(3) and 14a-8(1) ...
Millennium Partners, L.P., et al: No-Action letter dated March 9, 2006 Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-3 Millennium Partners, L.P., ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 229 and 230[RELEASE NOS. 33-8591A; 34-52056A; IC-26993A; FR-75AINTERNATIONAL SERIES RELEASE NO. 1294A]FILE NO. S7-38-04RIN 3235-AI11SECURITIES OFFERING REFORM; CORRECTIONAGENCY:Securities and ...
This SEC Division of Investment Management no-action letter deals with use of performance data from a PM's prior firm being applied to an advertisement.
This SEC no-action letter provides guidance on use of performance data achieved prior to joining a firm, for advertising and marketing purposes.
First Great-West Life & Annuity Insurance Company & Canada Life Insurance Company of New York: No-Action Letter / December 22, 2005 Securities Act of 1933 ...
Investment Company Act of 1940 – Section 17(a) GE Institutional Funds December 21, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL GE Institutional Funds DIVISION ...
No-Action Letter under Securities Exchange Act of 1934 – Rule 10A-3 and Form N-SAR and N-CSR The Pioneer Funds December 20, 2005 RESPONSE OF THE ...