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No-Action Letter under Investment Company Act of 1940 – Section 34(b) Securities Act of 1933 – Section 5(b) Lindbergh Funds October 30, 2002 Response of ...
No-Action Letter under Investment Company Act of 1940 – Section 6( c), 12(d)(1)(j) and 17(b); Rule 17d-1 Frank Russell Investment Company, et al. October 18, ...
No-Action Letter under Investment Company Act of 1940 – section 3(c)(11) Honeywell International Inc Savings Plan Trust October 7, 2002 Response of the Office of ...
No-Action Letter under: Investment Company Act of 1940 – Section 17j and Rule 17j-1 Investment Advisers Act of 1940 – Section 204 and Rule 204-2 ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 249, 270 and 274 [Release Nos. 34-46441; IC-25723; File No. S7-33-02] RIN 3235-AI63 Segment ReportingAGENCY:Securities and Exchange Commission.ACTION:Proposed rule ...
The SEC is adopting amendments to the rule under the Investment Company Act of 1940 that permits mergers and other business combinations between certain affiliated ...
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 ...
No-Action Letter under: Investment Company Act of 1940 – Section 12(d)(1)(e) PIMCO Funds July 9, 2002 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-46002; File No. S7-18-02] RIN 3235-AI52 Repeal of Options Trade-Through Disclosure Rule AGENCY:Securities and Exchange Commission.ACTION:Proposed ...
No-Action Letter under Investment Company Act – Section 17(d), Rule 17d-1 Mutual Fund Directors Forum May 9, 2002 Mutual Fund Directors RESPONSE OF THE OFFICE ...