IA Rules & Regulatory Actions

Investment Adviser Act of 1940 – Rule 202(a)(11)-1 Application of Rule 202(a)(11)-1 to a Broker-Dealer’s Exercise of Investment Discretion over Cash Management Accounts September 29, ...
RESPONSE OF THE OFFICE OF INVESTMENT COMPANY REGULATION DIVISION OF INVESTMENT MANAGEMENT Our Ref. No. 2005-1-ICR Evergreen Investment Management Company LLC Your letter of September ...
Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-3 ING Bank NV August 31, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION ...
Investment Advisers Act of 1940 – Section 206(3) Credit Suisse First Boston, LLC August 31, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...
Securities Exchange Act of 1934 – Rule 14a-8(f)(1) Putnam Tax-Free Health Care Fund August 8, 2005 John W. Gerstmayr, Esquire Ropes & Gray LLP One ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26985; File No. S7-03-04]RIN 3235-AJ05Investment Company GovernanceAGENCY:Securities and Exchange Commission.ACTION:Commission Response to Remand by Court of Appeals.SUMMARY:The ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 232[Release Nos. 33-8573; 34-51710; 35-27970; 39-2436; IC-26872]RIN 3235-AG96Adoption of Updated EDGAR Filer ManualAGENCY:Securities and Exchange Commission.ACTION:Final rule.SUMMARY:The Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26782; File No. S7-11-04]RIN 3235-AJ17Mutual Fund Redemption FeesAGENCY:Securities and Exchange Commission.ACTION:Final rule; request for additional comment.SUMMARY:The Securities ...
Investment Company Act of 1940 – Section 7 and 3(a)(1) Royal Dutch Shell PLC May 17, 2005 Response of the Office of International Corporate Finance ...
Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-2(a)(1) American Skandia Life Assurance Corporation May 16, 2005 RESPONSE OF THE OFFICE OF CHIEF ...
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