Investment Management

No-Action Letter: Energy Income and Growth Fund and First Trust Active Dividend Income Fund (July 27, 2010) Securities Act of 1933 – Rule 486(b) Energy ...

No-Action Letter: ASA Limited (July 23, 2010) Investment Company Act of 1940—Section 12(d)(3) ASA Limited July 23, 2010 Your letter dated July 23, 2010 requests ...

No-Action Letter: CME Group, Inc. (July 16, 2010) Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 Chicago Mercantile Exchange July 16, 2010 ...

Accor Services: No-Action letter dated June 7, 2010 Investment Company Act of 1940 — Section 7(d) Accor Services June 7, 2010 Based on the facts ...

ABA Retirement Funds Program: No-Action letter dated June 7, 2010 Investment Company Act of 1940 — Sections 3(c)11 and 7 ABA Retirement Funds Program June ...

No-Action Letter: Claymore Advisors, LLC (April 27, 2010) Investment Company Act of 1940 — Section 15(a) Claymore Advisors, LLC April 27, 2010 Your letter dated ...

No-Action Letter: xx (date, 2009) Rule 486(b) of the Securities Act of 1933 Tortoise Energy Infrastructure Corporation and Tortoise Energy Capital Corporation April 23, 2010 ...

No-Action Letter: Investment Company Institute (April 2, 2010) Investment Company Act of 1940 – Section 17(d) and Rule 17d-1 Investment Company Institute April 2, 2010 ...