Advisory Agreements

This SEC final rule makes amendments to require a registered management investment company to provide disclosure in its reports to shareholders regarding the material factors ...

Investment Company Act of 1940 – Section 15(a) Eaton Vance Special Investment Trust, et al March 30, 2004 Our Ref. No. 20041161621 Eaton Vance Special ...

No-Action Letter under: Investment Company Act of 1940 – Section 6© and Rule 17(d) Neuberger Berman Management Inc. et. al. April 30, 2003 RESPONSE OF ...

Investment Company Act of 1940 – Section 15(a), and Rule 18f-2 PIMCO Funds: Multi-Manager Series, et al August 6, 2002 RESPONSE OF THE OFFICE OF ...

No-Action Letter under: Investment Advisors Act – Section 205; and Rule 205-3 Seligman New Technologies Fund II, Inc. February 7, 2002 RESPONSE OF THE OFFICE ...

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 ...

This is McEldowney Financial Services no-action letter from the SEC in 1986, which concerns use of arbitration clauses by an RIA.