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 ...
No-Action Letter under:Investment Company Act – Section 17(d) and Rule 17d-1 The Mexico Equity and Income Fund NOVEMBER 15, 2001 RESPONSE OF THE OFFICE OF ...
No-Action Letter under:Investment Company Act – Section 26(c) AIG Life Insurance Company – American International Life Assurance Company of New York November 6, 2001 RESPONSE ...
No-Action Letter under: Investment Company Act – Section 17(f), Rule 17f-4 Government Securities Clearing Corporation October 19, 2001 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...
No-Action Letter under:Securities Exchange Act – Sections 14a-8(b) and 14a-8(f) Templeton Vietnam and Southeast Asia Fund Bruce G. Leto, Esq. Stradley Ronon Stevens & Young, ...
No-Action Letter under: Investment Company Act – Section 15(a)(2) Lincoln National Convertible Securities Funds, Inc. September 28, 2001 Bruce G. Leto, Esq. Stradley Ronon Stevens ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-44845; File No. S7-14-01RIN 3235-AI23Request for Comment on the Effects of Decimal Trading in Subpennies; Extension ...
No-Action Letter under: Investment Company Act – Section 17(a) UAM Funds Inc. September 24, 2001 RESPONSE OF THE OFFICE OF INVESTMENT COMPANY REGULATION DIVISION OF ...