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Investment Company Act of 1940 – Section 2(a)(51) Trusts under the Will of Marion Searle March 29, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL ...
Securities Exchange Act of 1934 – Section 14(a) and Rule 14a8-(b)(1) Fidelity Magellan Fund – Shareholder Proposal of Walter J. Krieg March 10, 2005 Stuart ...
Investment Company Act of 1940 – Section 31(a) and Rule 31a-2 Application of Rule 38a-1 to a Closed-End Investment Company’s Principal Underwriters November 10, 2004 ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 270 [Release No. IC-26520; File No. S7-03-04] RIN 3235-AJ05 Investment Company Governance AGENCY: Securities and Exchange Commission. ACTION: ...
Final Rule: Disclosure of Breakpoint Discounts by Mutual Funds SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 239 and 274 [Release Nos. 33-8427; 34-49817; IC-26464; File ...
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 ...
Securities Exchange Act of 1934 – Rule 14a-8(i)(7) Medallion Financial Corp. May 11, 2004 Michael C. Carroll, Senior Vice President Medallion Financial Corp. 437 Madison ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release No. IC-26375A; File No. S7-11-04] RIN 3235-AJ17Mandatory Redemption Fees for Redeemable Fund SecuritiesAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The ...