SEC No-Action Letters

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…

Bear, Stearns & Company, Inc. (Oct. 31, 2003) (Cash Solicitation)

Friday, 31 October 2003 08:00 Investment Advisers Act of 1940 Section 206(4) and Rules 206(4)-3 Bear, Stearns & Company Inc. October 31, 2003 RESPONSE OF THE OFFICE OF CHIEF COUNSEL…

Emeriti Consortium for Retirement Health (Apr. 7, 2005) (Employee Benefit Plans)

Thursday, 07 April 2005 08:00 Securities Exchange Act of 1934 Act – Section 12(g) Investment Company Act of 1940 Act – Section 7 April 7, 2005 Response of the Office…

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…

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…

First Data Corporation (Jan. 13, 2004) (Investment Company Registration)

Tuesday, 13 January 2004 08:00 No-Action Letter under Investment Company Act of 1940 Section 7(a) First Data Corporation January 13, 2004 Response of the Office of Chief Counsel Division of…

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…

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…

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,…

Gartmore Mutual Funds (Mar. 19, 2004) (Advisory Contracts)

Friday, 19 March 2004 08:00 Investment Company Act of 1940 – Section 15(a)Gartmore Mutual Funds March 19, 2004 Our Ref. No. 20039291130 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION…

Goldman, Sachs & Company (Oct. 31, 2003) (Cash Solicitation)

Friday, 31 October 2003 08:00 Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 Goldman, Sachs & Company October 31, 2003 RESPONSE OF THE OFFICE OF CHIEF COUNSEL IM…

Goldman Sachs Group, Inc. (Mar. 8, 2005) (Hedge Funds)

Tuesday, 08 March 2005 08:00 Investment Company Act of 1940 – Section 3(c)(1) and 3(c ) (7) The Goldman Sachs Group, Inc. March 8, 2005 RESPONSE OF THE OFFICE OF…

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