Investment Management

No-Action Letter under:Securities Act of 1933 – Section 5 Nationwide Life Insurance Company March 16, 2001 RESPONSE OF THE OFFICE OF INSURANCE PRODUCTS DIVISION OF ...

No-Action Letter under: Investment Company Act – Sections 2(a)(32), 5(a)(1), 11(a), 18(f)(1), 34(b); Rule 11a-3 Fidelity Advisor Korea Fund, Inc March 7, 2001 RESPONSE OF ...

March 6, 2001 BY FACSIMILE AND U.S. MAIL William G. Farrar, Esquire Sullivan & Cromwell 125 Broad Street New York, New York 10004-2498 Re: The ...

No-Action Letter under: Investment Company Act of 1940 – Sections 2(a)(32), 2(a)(35), 6(c), 11(a), 11(c), 17(a), 17(b), 22(d), 26(a)(2); Rule 22c-1 ING Mutual Funds Management ...

No-Action Letter under: Investment Advisors Act – Section 206(4); Rule 206(4)(3) Prudential Securities Inc. February 7, 2001 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION ...

This is a copy of the SEC's no-action letter related to advertising and marketing in response to a request from Jennison Associates.

This is an SEC no-action letter released in 1999 prompted by Goldman Sachs Asset Management. The letter concerns application of Advisers Act section 206(3). It ...

This is a copy of the 1998 Franklin no-action letter that relates to quarterly reports to clients.

If a fund has not adopted a rule 12b-1 plan, then it cannot use fund assets to pay for services that are primarily intended to ...

This is the 1997 no-action letter from the SEC's Division of Investment Management requested by Cambiar Investors. The RIA sought, and received, a determination that ...