March 6, 2003 Mark D. WigderJenkens & Gilchrist1445 Ross Avenue, Suite 3200Dallas, Texas 75202 Re: Request for no-action relief on behalf of Edward Mahaffy Dear ...
Final Rule: Retention of Records Relevant to Audits and Reviews Securities and Exchange Commission 17 CFR Part 210 [Release Nos. 33-8180; 34-47241; IC-25911; FR-66; File ...
Webmaster Note: Correction to Final Regulations is now available. SECURITIES AND EXCHANGE COMMISSION 17 CFR PARTS 228, 229 and 249 [RELEASE NOS. 33-8177; 34-47235; ...
This is the proposed rule that details the compliance obligations of investment advisers and investment companies. This came out in 2003.
No-Action Letter under Investment Company Act of 1940 — Section 3(a) and 7 Investment Advisers Act of 1940 — Section 203(a) Tuition Plan Consortium, LLP ...
No-Action Letter under Investment Company Act of 1940 — Section 30(e); Rule 30e-1 Securities Act of 1933 — Section 5(b)(2) Lincoln National Life Insurance & ...
Updated as of: January 23, 2003 Staff Responses to Questions about Regulation S-P The staff of the Division of Investment Management has prepared the following ...
The Commission is adopting rule amendments under the Investment Advisers Act of 1940 to exempt certain investment advisers that provide advisory services through the Internet ...
No-Action Letter under Investment Advisor Act of 1940 – Section 206 Constellation Financial Management LLC January 9, 2003 Response of the Office of Chief Counsel ...