Resources


SEC No-Action Letters
SCP Private Equity Partners II, L.P. (Jun. 6, 2006) (Qualified Purchaser Definition)
Securities Industry Association (Dec. 16, 2005) (Investment Advisers Act Status)
ABA Subcommittee on Private Investment Entities (Dec. 8, 2005) (Registration)
Investment Adviser Association (Dec. 2, 2005) (Advertising)
National Compliance Service (Nov. 30, 2005) (Code of Ethics)
Principal Investors Fund, Inc. (May 13, 2005) (Fund of Funds)
Emeriti Consortium for Retirement Health (Apr. 7, 2005) (Employee Benefit Plans)
Mellon Equity Associates, LLP (Apr. 1, 2005) (Advisory Contracts)
Trusts under the Will of Marion Searle (Mar. 29, 2005) (Beneficial Ownership)
Goldman Sachs Group, Inc. (Mar. 8, 2005) (Hedge Funds)
Prudential Insurance Co. (Mar. 1, 2005) (Code of Ethics)
Pacific Select Fund (Dec. 23, 2004) (Performance Fees)
Trainer, Wortham & Co. (Dec. 6, 2004) (Advertising)
Investment Company Institute (Nov. 10, 2004) (Closed-end Investment Companies)
Man-Glenwood Lexington TEI, LLC (Apr. 30, 2004) (Fund of Funds)
Gartmore Mutual Funds (Mar. 19, 2004) (Advisory Contracts)
Investment Counsel Association of America (Mar. 1, 2004) (Advertising)
Westford Technology Venture, L.P. (Jan. 28, 2004) (Registration)
First Data Corporation (Jan. 13, 2004) (Investment Company Registration)
Bear, Stearns & Company, Inc. (Oct. 31, 2003) (Cash Solicitation)
Lehman Brothers (Oct. 31, 2003) (Cash Solicitation)
Goldman, Sachs & Company (Oct. 31, 2003) (Cash Solicitation)
James DeYoung (Oct. 24, 2003) (Cash Solicitation)
MTB Group of Funds (Oct. 21, 2003) (Exemptive Applications)
Peninsular & Oriental Steam Navigation (Oct. 15, 2003) (Investment Companies)
France Growth Fund (Jul. 15, 2003) (Fund of Funds)
Mercy Investment Program, Inc. (Jun. 12, 2003) (Investment Company Registration)
Metro Insurance and Annuity (Jun. 6, 2003) (Investment Company Registration)
Neuberger Berman Management, Inc. (Apr. 30, 2003) (Fund of Funds)
Fixed Income Clearing Corporation (Mar. 13, 2003) (Custody)
ML-Lee Acquisition Fund II, L.P. (Mar. 4, 2003) (Registration)
Tuition Plan Consortium, LLP (Feb. 4, 2003) (Investment Advisers)
Lincoln National Life Insurance (Jan. 30, 2003) (Advertising)
Constellation Financial Management (Jan. 9, 2003) (Advisory Fees)
Lindbergh Funds (Oct. 30, 2002) (Advertising)
Frank Russell Investment Co. (Oct. 18, 2002) (Closed-end Investment Companies)
Honeywell International, Inc. (Oct. 7, 2002) (Employee Benefit Plans)
Manufacturers Adviser Corp (Sep. 10, 2002) (Advisory Representatives)
Gulf Coast Venture Forum, Inc. (Aug. 21, 2002) (Investment Advisers Act Status)
PIMCO Funds (Aug. 6, 2002) (Advisory Contracts)
ReFlow Fund, LLC (Jul. 15, 2002) (Internet)
Thomson Financial, Inc. (Jul. 10, 2002) (Internet)
PIMCO Funds (Jul. 9, 2002) (Hub and Spoke Funds)
ING Bank (Jul. 8, 2002) (Public Offering)
Mutual Fund Directors Forum (May 9, 2002) (Independent Directors)
Investment Company Institute (Feb. 12, 2002) (Independent Legal Counsel)
Seligman New Technologies Fund II, Inc. (Feb. 7, 2002) (Advisory Fees)
Federated Core Trust II, L.P. (Feb. 6, 2002) (Directors)
NFL Players Association (Jan. 25, 2002) (Cash Solicitation)
Mexico Equity and Income Fund (Nov. 15, 2001) (Directors)



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