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Archive | SEC Letters

ABA Subcommittee on Private Investment Entities (Dec. 8, 2005) (Registration)

Thursday, 08 December 2005 08:00 Investment Advisers Act of 1940: Section 203(b)(3) and Rule 203(b)(3)-1 and 203(b)(3)-2 ABA Subcommittee on Private Investment Entities December 8, 2005 Robert Todd Lang, Chair, Subcommittee on Private Investment Entities American Bar Association Section of Business Law 321 N. Clark Street Chicago, Illinois 60610-4714 Paul N. Roth, Vice Chair, Subcommittee […]

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Constellation Financial Management (Jan. 9, 2003) (Advisory Fees)

Thursday, 09 January 2003 08:00 No-Action Letter under Investment Advisor Act of 1940 – Section 206 Constellation Financial Management LLC January 9, 2003 Response of the Office of Chief Counsel Division of Investment Management Our Ref. No. 20029241642 Constellation Financial Management, L.L.C. Your letter dated January 8, 2003 requests our assurance that we would not […]

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Federated Core Trust II, L.P. (Feb. 6, 2002) (Directors)

Wednesday, 06 February 2002 08:00 No-Action Letter under: Investment Company Act of 1940 – Section 2(a)(12) Federated Core Trust II, L.P. February 6, 2002 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT MANAGEMENT Our Ref. No. 20016211641 Federated Core Trust II, L.P. File No. 811-10625 Your letter dated February 4, 2002, requests our […]

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Fidelity Advisor Korea Fund, Inc. (Mar. 7, 2001) (Redemption Fees)

Wednesday, 07 March 2001 08:00 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 THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT MANAGEMENT Our Ref. No. 00-511167 File No. 811-8608 Your letter dated February 22, 2001 requests our assurance […]

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Fixed Income Clearing Corporation (Mar. 13, 2003) (Custody)

Thursday, 13 March 2003 08:00 No-Action Letter under Investment Company Act of 1940 Section 17(f) and Rule 17f-4 Fixed Income Clearing Corporation March 13, 2003 Response of the Office of Chief Counsel Division of Investment Management IM Ref. No. 20033131032 Fixed Income Clearing Corporation File No. 132-3 Your letter dated February 6, 2003 requests our […]

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France Growth Fund (Jul. 15, 2003) (Fund of Funds)

Tuesday, 15 July 2003 08:00 No-Action Letter under: Investment Company Act of 1940 – Section 12(d)(1)(A) and 7(d) The France Growth Fund, Inc. July 15, 2003 Response of the Office of Chief Counsel Division of Investment Management The France Growth Fund, Inc. Our Ref. No. 2003271437 File No. 811-05994 In your letter dated February 4, […]

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Frank Russell Investment Co. (Oct. 18, 2002) (Closed-end Investment Companies)

Friday, 18 October 2002 08:00 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, 2002 Response of the Office of Investment Company Regulation, Division of Investment Management Our Ref. No. 2002-5-ICR Frank Russell Investment Company, et al. Your letter […]

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