Investment Advisers

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270Release No. IC-22389; File No. S7-15-94RIN 3235-AF97 Custody of Investment Company Assets with Futures Commission Merchants and Commodity Clearing ...
The Commission is staying a rule and a provision in a rule under the Investment Advisers Act of 1940 that require the filing of Form ...
This 1996 no-action letter helps to define what net-of-fee performance data means. The SEC, in this correspondence, held that it include all transaction costs and ...
This is the 1996 law passed by Congress called the National Securities Markets Improvement Act or NSMIA.
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 239 and 270Release No. IC-22201; File No. S7-2-96RIN 3235-AG59Technical Amendments to Rule Relating to Payments for the Distribution ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 239, 270, and 274Release Nos. 33-7328; IC-22202; File No. S7-8-95RIN 3235-AD18Exemption for Certain Open-End Management Investment Companies to Impose ...
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.
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