Wednesday, 21 August 2002 08:00 Investment Advisers Act of 1940 – Section 203(a) and 202(a)(11) Gulf Coast Venture Forum, Inc. August 21, 2002 RESPONSE OF THE OFFICE OF CHIEF COUNSEL…
Friday, 18 May 2001 08:00 No-Action Letter under: Investment Company Act of 1940 – Section 3(c)(1), 3(c)(7) H.E.B. Investment & Retirement Plan H.E. Butt Grocery Company May 18, 2001 RESPONSE…
Monday, 07 October 2002 08:00 No-Action Letter under Investment Company Act of 1940 – section 3(c)(11) Honeywell International Inc Savings Plan Trust October 7, 2002 Response of the Office of…
Friday, 02 December 2005 08:00 Investment Advisers Act of 1940 Rule 206(4)-1(a)(1) Investment Adviser Association December 2, 2005 Karen L. Barr General Counsel Investment Adviser Association 1050 17th Street, NW…
Wednesday, 10 November 2004 08:00 Investment Company Act of 1940 – Rule 38a-1 Application of Rule 38a-1 to a Closed-End Investment Company’s Principal Underwriters November 10, 2004 By Facsimile and…
Tuesday, 12 February 2002 08:00 No-Action Letter under: Investment Company Act of 1940 – Rule 0-1(a)(6); 2a-19 Investment Company Institute February 12, 2002 Craig S. Tyle, Esq. General Counsel Investment…
Monday, 08 July 2002 08:00 Investment Company Act of 1940 – Section 3(c)(1) ING Bank, N.V. July 8, 2002 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT MANAGEMENT…
Monday, 01 March 2004 08:00 Investment Advisers Act of 1940 – Rule 206(4)-1(b) Investment Counsel Association of America, Inc. Investment Counsel Association of America, Inc. March 1, 2004 Karen L….
Friday, 24 October 2003 08:00 Investment Advisers Act of 1940 – Rule 206(4)-3 James DeYoung October 24, 2003 RESPONSE OF THE OFFICE OF CHIEF COUNSEL Our Ref. No. 200385177 Mr….
Friday, 31 October 2003 08:00 Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 Lehman Brothers October 31, 2003 RESPONSE OF THE OFFICE OF CHIEF COUNSEL IM Ref. No….
Thursday, 30 January 2003 08:00 No-Action Letter under Investment Company Act of 1940 Section 30(e); Rule 30e-1 Securities Act of 1933 Section 5(b)(2) Lincoln National Life Insurance & Lincoln Financial…
Wednesday, 30 October 2002 08:00 No-Action Letter under Investment Company Act of 1940 – Section 34(b) Securities Act of 1933 – Section 5(b) Lindbergh Funds October 30, 2002 Response of…
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