Investment Advisers

First Great-West Life & Annuity Insurance Company & Canada Life Insurance Company of New York: No-Action Letter / December 22, 2005 Securities Act of 1933 ...
Investment Company Act of 1940 – Section 17(a) GE Institutional Funds December 21, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL GE Institutional Funds DIVISION ...
No-Action Letter under Securities Exchange Act of 1934 – Rule 10A-3 and Form N-SAR and N-CSR The Pioneer Funds December 20, 2005 RESPONSE OF THE ...
No-Action Letter under Investment Advisers Act of 1940 — Section 202(a)(11)(c) and Rule 202(a)(11)-1 Securities Industry Association December 16, 2005 Mr. Ira D. Hammerman Senior ...
No-Action Letter Under Investment Company Act of 1940 — Section 17(d) and Rule 17d-1 Investment Company Institute December 14, 2005 Elizabeth Krentzman, General Counsel Investment ...
Investment Advisers Act of 1940: Section 203(b)(3) and Rule 203(b)(3)-1 and 203(b)(3)-2 ABA Subcommittee on Private Investment Entities December 8, 2005 Robert Todd Lang, Chair, ...
This is the SEC's 2005 no-action letter that shed light on use of testimonials in advertising and marketing.
Investment Company Act of 1940 – Rule 12b-1 and Section 18(f), 22(d) and 48(a) E*TRADE Securities, LLC November 30, 2005 RESPONSE OF THE OFFICE OF ...
Investment Advisers Act of 1940 – Rule 204A-1, 206(4)-7 and Section 204A, 203(e)(6) Investment Company Act of 1940 – Rule 17j-1 National Compliance Service November ...
No-Action Letter Under Investment Advisers Act of 1940 – Rule 202(a)(11)-1 Morgan, Lewis & Bockius LLP November 17, 2005 Investment Advisers Act of 1940 – ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 232[Release Nos. 33-8633; 34-52708; 35-28053; 39-2440; IC-27139]RIN 3235-AG96Adoption of Updated EDGAR Filer ManualAGENCY:Securities and Exchange Commission.ACTION:Final rule.SUMMARY:The Securities and ...
Securities Exchange Act of 1934 – Section 15(d) American Home Assurance Company, et. al., October 17, 2005 Response of the Office of Insurance Products Division ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 232[Release Nos. 33-8612; 34-52477; 35-28033; 39-2439; IC-27070]RIN 3235-AG96Adoption of Updated EDGAR Filer ManualAGENCY:Securities and Exchange Commission.ACTION:Final rule.SUMMARY:The Securities and ...
Investment Adviser Act of 1940 – Rule 202(a)(11)-1 Application of Rule 202(a)(11)-1 to a Broker-Dealer’s Exercise of Investment Discretion over Cash Management Accounts September 29, ...
RESPONSE OF THE OFFICE OF INVESTMENT COMPANY REGULATION DIVISION OF INVESTMENT MANAGEMENT Our Ref. No. 2005-1-ICR Evergreen Investment Management Company LLC Your letter of September ...
Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-3 ING Bank NV August 31, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION ...
Investment Advisers Act of 1940 – Section 206(3) Credit Suisse First Boston, LLC August 31, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...
Securities Exchange Act of 1934 – Rule 14a-8(f)(1) Putnam Tax-Free Health Care Fund August 8, 2005 John W. Gerstmayr, Esquire Ropes & Gray LLP One ...
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