Investment Adviser Act of 1940 – Rule 206(4)-3 Thomas Weisel Partners LLC September 24, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...
Investment Advisers Act of 1940- Section 206(4) Rule 206(4)-3 Deutsche Bank Securities Inc. September 24, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...
Investment Advisors Act of 1940 – Rule 206(4)-6 Institutional Shareholder Services, Inc. September 15, 2004 Mari Anne Pisarri, Esq. Pickard and Djinis LLP 1990 M ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 270 [Release No. IC-26520; File No. S7-03-04] RIN 3235-AJ05 Investment Company Governance AGENCY: Securities and Exchange Commission. ACTION: ...
The Securities and Exchange Commission is adopting a new rule and related rule amendments under the Investment Advisers Act of 1940 that require registered advisers ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 232 [Release Nos. 33-8454; 34-50160; 35-27881; 39-2424; IC-26525] RIN 3235-AG96 Adoption of Updated EDGAR Filer Manual AGENCY: Securities ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 230 [Release No. 33-8442; File No. S7-17-04] RIN 3235-AJ03 COVERED SECURITIES PURSUANT TO SECTION 18 OF THE SECURITIES ...
Final Rule: Disclosure of Breakpoint Discounts by Mutual Funds SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 239 and 274 [Release Nos. 33-8427; 34-49817; IC-26464; File ...
This SEC final rule makes amendments to require a registered management investment company to provide disclosure in its reports to shareholders regarding the material factors ...
Securities Act of 1933 – Section 5 and Rule 145 Investment Company Act of 1940 – Section 11 and 17(a) GE Life and Annuity Assurance ...