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No-Action Letter under: Investment Company Act of 1940 — Section 6(c) Prudential Investment Management Services LLC Response of the Division of Investment Management SECURITIES AND ...
No-Action Letter under: Securities Exchange Act – Section 14(a) The France Growth Fund, Inc. – Strome Hedgecap Fund April 6, 2001 RESPONSE OF THE DIVISION ...
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 ...
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 ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 228, 229, 230, 239, 240, and 274[Release Nos. 33-7106; 34-34923; IC-20670; File No. S7-31-94]RIN 3235-AE14Disclosure Concerning Legal Proceedings Involving ...