SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 239 and 274 [Release Nos. 33-8408; IC-26418; File No. S7-26-03] RIN 3235-AI99 Disclosure Regarding Market Timing and Selective ...
Investment Advisers Act of 1940 – Rule 206(4)-6 Egan-Jones Proxy Services May 27, 2004 Kent S. Hughes Managing Director Egan-Jones Proxy Services 61 Station Road ...
Securities Exchange Act of 1934 – Rule 14a-8(i)(7) Medallion Financial Corp. May 11, 2004 Michael C. Carroll, Senior Vice President Medallion Financial Corp. 437 Madison ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release No. IC-26375A; File No. S7-11-04] RIN 3235-AJ17Mandatory Redemption Fees for Redeemable Fund SecuritiesAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The ...
No-Action Letter under: Investment Company Act of 1940 – Section 7(d) and 12(d)(1)(e) Man-Glenwood Lexington TEI, LLC and Man-Glenwood Lexington TEI, LDC April 30, 2004 ...
Investment Company Act of 1940 – Sections 6(c), 11(a), 11(c), 12(d)(1)(j), and 17(b) Fixed Income Securities, L.P. April 29, 2004 RESPONSE OF THE OFFICE OF ...