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12b-1 Fees
Congress and the SEC must move ahead to harmonize investment adviser and broker-dealer regimes, extend a "meaningful" fiduciary duty standard to all and install "an ...
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 ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26591; File No. S7-09-04]RIN 3235-AJ07Prohibition on the Use of Brokerage Commissions to Finance DistributionAGENCY:Securities and Exchange Commission.ACTION:Final ...
March 6, 2003 Mark D. WigderJenkens & Gilchrist1445 Ross Avenue, Suite 3200Dallas, Texas 75202 Re: Request for no-action relief on behalf of Edward Mahaffy Dear ...
No-Action Letter under: Investment Company Act of 1940- Section 18(f), 22(d); Rule 12b-1, 22c-1 ReFlow Fund, LLC July 15, 2002 RESPONSE OF THE OFFICE OF ...