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.
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 239 and 274 [Release Nos. 33-8347; 34-48939; IC-26298; File No. S7-28-03] RIN 3235-AI95 DISCLOSURE OF BREAKPOINT DISCOUNTS BY MUTUAL ...
This is the final SEC rule commonly known as "the compliance rule." It establishes compliance obligations for investment advisers and investment companies. It came out ...
Investment Advisers Act of 1940 – Rule 206(4)-4(b) Kirkpatrick & Lockhart LLP January 28, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...