IA Rules & Regulatory Actions

Final Rule:Approved Information Collections SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 200 RELEASE NOS. 33-8071; 34-45601 35-27505; 39-2396; IC-25471; and IA-2021 Approved Information Collections AGENCY: ...
Temporary Final Rule and Final Rule:Requirements for Arthur Andersen LLP Auditing Clients SECURITIES AND EXCHANGE COMMISSION 17 CFR PARTS 210, 228, 229, 230, 240, 249 ...
No-Action Letter under:Securities Exchange Act of 1934 – Rule 14a-8(i)(3) MuniYield Insured Fund, Inc. March 11, 2002 Frank P. Bruno, Esq. Sidley Austin Brown & ...
No-Action Letter under:Investment Company Act – Sections 17(a) and 12(d)(3) Evergreen Investment Management Company, LLC February 13, 2002 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...
No-Action Letter under: Investment Company Act of 1940 – Rule 0-1(a)(6); 2a-19 Investment Company Institute February 12, 2002 Craig S. Tyle, Esq. General Counsel Investment ...
No-Action Letter under: Investment Company Act of 1940 – Sections 6(c), 18(f), 21(b), 12(d)(1)(j), 12(d)(1), 17(b), 17(a)(1), 17(a)(3), 17(d) Rule 17d-1 AIM Advisors, Inc. February ...
No-Action Letter under: Investment Advisors Act – Section 205; and Rule 205-3 Seligman New Technologies Fund II, Inc. February 7, 2002 RESPONSE OF THE OFFICE ...
No-Action Letter under: Investment Company Act of 1940 – Section 2(a)(12) Federated Core Trust II, L.P. February 6, 2002   RESPONSE OF THE OFFICE OF ...
Final Rule: Options Disclosure Document SECURITIES AND EXCHANGE COMMISSION 17 CFR PART 230 [RELEASE NO. 33-8049; File No. S7-19-98] RIN 3235-AH31 OPTIONS DISCLOSURE DOCUMENT Agency: ...
Final Rule: Disclosure of Equity Compensation Plan Information SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 228, 229, 240 and 249 [Release Nos. 33-8048, 34-45189; File ...
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