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 ...
No-Action Letter under: Securities Exchange Act of 1934 – Rule 14a-8(b) and 14a-8(f) Asia Tiger Fund, Inc. January 31, 2002 Via First Class Mail Cynthia ...
Investment Advisers Act of 1940 – Sections 202(a)(11); 206(4) and Rule 206(4)-3 National Football...
No-Action Letter under:Investment Advisers Act of 1940 – Sections 202(a)(11); 206(4) and Rule 206(4)-3 National Football League Players Association January 25, 2002 RESPONSE OF THE ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 Release No. IC-25258; File No. S7-20-01RIN 3235-AI35 Actively Managed Exchange-Traded Funds AGENCY:Securities and Exchange Commission ("Commission"). ACTION:Concept release; ...
No-Action Letter under:Securities Exchange Act – Rule 14a-8(e)(2) The Asia Tigers Fund, Inc. December 28, 2001 VIA FIRST CLASS MAIL Cynthia G. Cobden, Esq. Simpson ...
No-Action Letter under: Investment Advisors Act – Section 206(4) Stephens Inc. December 27, 2001 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT MANAGEMENT ...
No-Action Letter under:Securities Act of 1933 – Rule 145 Investment Company Act – Sections 5, 8 and 11 The Manufacturers Life Insurance Company December 27, ...
If money managers use commission dollars of their advised accounts to obtain research and brokerage services, Section 28(e) prevents them from being held to have ...
No-Action Letter under: Investment Company Act of 1940 – Section 17(d); Rule 17d-1 U.S. Bancorp Asset Management, Inc., et al. December 11, 2001 RESPONSE OF ...