Investment Advisers

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 REGULATIONDIVISION OF INVESTMENT ...
No-Action Letter under: Investment Company Act – Section 12(d)(3) Calvert Social Index Fund September 4, 2001 RESPONSE OF THE OFFICE OF CHIEF COUNSELDIVISION OF INVESTMENT ...
Final Rule: Adoption of Updated EDGAR Filer Manual SECURITIES AND EXCHANGE COMMISSION17 CFR Part 232[Release Nos. 33-7999; 34-44660; 35-27430; 39-2391; IC-25102]RIN 3235-AG96Adoption of Updated EDGAR ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 270 and 274 [Release No. IC-25058; File No. S7-21-99]RIN 3235-AH56 Treatment of Repurchase Agreements and Refunded Securities as ...
No-Action Letter under: Investment Company Act – Section 17(d) The Chase Manhattan Bank July 24, 2001 RESPONSE OF THE OFFICE OF CHIEF COUNSELDIVISION OF INVESTMENT ...
No-Action Letter under: Investment Company Act —Section 6(a)(5)(a) Windamere Capital Ventures, L.P. July 23, 2001 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-44568; File No. S7-14-01RIN 3235 - AI23Request for Comment on the Effects of Decimal Trading in ...
No-Action Letter under: Securities Exchange Act of 1934 — Rule 14a-8(i)(10) Current Income Shares, Inc. July 10, 2001 Roy W. Adams, Jr., Esq.1024 Country Club ...
No-Action Letter under: Securities Exchange Act – Section 14(a) Pioneer Interest Shares June 20, 2001 Joseph P. Barri, Esq.Hale and Dorr LLP60 State StreetBoston, MA ...
No-Action Letter under: Investment Company Act – Section 11National Association for Variable Annuities; Insurance Marketplace Standards Assn; American Council of Life InsurersJune 19, 2001W. Thomas ...
This speech from 2001 outlines SEC expectations for best execution and valuation, especially for fund advisers.
INTERNATIONAL DISCLOSURE STANDARDS; CORRECTION SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 239 and 249 [Release Nos. 33-7983; 34-44406 INTERNATIONAL SERIES RELEASE NO. 1249] FILE NO. ...
No-Action Letter under: Investment Advisors Act – Section 206(4) Rule 206-(4)-3 Legg Mason Wood Walker, Inc., et al. June 11, 2001 RESPONSE OF THE OFFICE ...
No-Action Letter under: Securities Exchange Act of 1934 – Rule 14a-8 Asia Pacific Fund Inc. – Caginalp June 8, 2001Earl D. Weiner, Esq.Sullivan & Cromwell125 ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 270 and 275 [Release Nos. IC-24991 and IA-1945; File No. S7-06-01] RIN 3235-AI05 Electronic Recordkeeping by Investment Companies ...
No-Action Letter under: Investment Company Act of 1940 – Section 3(c)(1), 3(c)(7) H.E.B. Investment & Retirement Plan H.E. Butt Grocery Company May 18, 2001 RESPONSE ...
SEC Interpretation:Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media under the Electronic Signatures in Global and National Commerce Act of 2000 with ...
No-Action Letter under: Investment Company Act – Sections 6(c), 11(a), 11(c), 12(d)(1)(J), 17(b) Investec Ernst & Company April 24, 2001 RESPONSE OF THE OFFICE OF ...
No-Action Letter under: Investment Company Act of 1940 — Section 6(c) Prudential Investment Management Services LLC Response of the Division of Investment Management SECURITIES AND ...
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