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Archive | SEC Letters

Tuition Plan Consortium, LLP (Feb. 4, 2003) (Investment Advisers)

Tuesday, 04 February 2003 08:00 No-Action Letter under Investment Company Act of 1940 Section 3(a) and 7 Investment Advisers Act of 1940 Section 203(a) Tuition Plan Consortium, LLP February 4, 2003 Response of the Offices of Chief Counsel Division of Corporation Finance Division of Investment Management Division of Market Regulation Re: Tuition Plan Consortium, LLC […]

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Westford Technology Venture, L.P. (Jan. 28, 2004) (Registration)

Wednesday, 28 January 2004 08:00 Securities Exchange Act of 1934 Section 13(a) and 15(d) Westford Technology Venture, L.P. January 28, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL Our Ref. No. 2003721314 Westford Technology Venture, L.P. DIVISION OF INVESTMENT MANAGEMENT File No. 0-16208 Your letter dated November 24, 2003 essentially requests our assurance that we […]

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Nationwide Life Insurance (Mar. 16, 2001) (Prospectus Disclosure)

Friday, 16 March 2001 08:00 No-Action Letter under: Securities Act of 1933 – Section 5 Nationwide Life Insurance Company March 16, 2001 RESPONSE OF THE OFFICE OF INSURANCE PRODUCTS DIVISION OF INVESTMENT MANAGEMENT Nationwide Life Insurance Company, et al. By letter dated March 15, 2001, you request assurance that the staff would not recommend enforcement […]

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