Investment Advisers

This 1996 no-action letter from the SEC to Horizon Asset Management goes into the ability of firms to use a previous owner's performance data in ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 230, 239, 270, and 274Release Nos. 33-7275; IC-21837; S7-34-93RIN 3235-AE17Revisions to Rules Regulating Money Market FundsAGENCY:Securities and Exchange Commission.ACTION: ...
This is an SEC no-action letter from 1996 to Munder Capital Management that speaks of the use of advertising and marketing on the Internet.
This is the SEC's interpretative guidance related to delivery of information, like Form ADV, to clients using electronic means. This came out in May 1996.
This is the J.P. Morgan Investment Management no-action letter from the SEC in 1996 that provided additional guidance for advertising and marketing of model portfolios.
The SEC's Division of Investment Management granted Ayco Company "no-action" relief based on its request not to include in its advisory contracts a provision that ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270Release No. IC-20916; File No. S7-24-88RIN 3235-AD18Exemption for Certain Open-End Management Investment Companies to Impose Contingent Deferred Sales LoadsAGENCY:Securities ...
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