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 ...
Securities and Exchange Commission 17 CFR Part 232 [Release Nos. 33-8409; 34-49580; 35-27836; 39-2419; IC-26420] RIN 3235-AG96 Adoption of Updated EDGAR Filer Manual Agency: Securities ...
Webmaster’s Note: See also Rel. No. 33-8410A Securities and Exchange Commission 17 CFR Parts 232, 239, 249, 259, 269 and 274 [Release Nos. 33-8410, 34-49585, ...
Investment Company Act of 1940 – Section 15(a) Eaton Vance Special Investment Trust, et al March 30, 2004 Our Ref. No. 20041161621 Eaton Vance Special ...
Investment Company Act of 1940 – Section 15(a)Gartmore Mutual Funds March 19, 2004 Our Ref. No. 20039291130 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION ...
Securities Exchange Act of 1934 – Rule 14a-8(i)(3) and 14a-9 Tri-Continental-Laukat March 15, 2004 Donald R. Crawshaw, Esquire Sullivan & Cromwell LLP 125 Broad Street ...
Securities Exchange Act of 1934 – Rule 14a-8(i)(3) and 14a-9 The New Ireland Fund, Inc March 15, 2004 Paul J. McElroy, Esquire Sullivan & Cromwell ...
Investment Advisers Act of 1940 – Rule 206(4)-1(b) Investment Counsel Association of America, Inc. Investment Counsel Association of America, Inc. March 1, 2004 Karen L. ...
This is an SEC no-action letter from 2004 providing guidance on the use of past-specific recommendations in firm advertising and marketing.