SEC No-Action Letters

Man-Glenwood Lexington TEI, LLC (Apr. 30, 2004) (Fund of Funds)

Friday, 30 April 2004 08:00 No-Action Letter under: Investment Company Act of 1940 – Section 7(d) and 12(d)(1)(e) Man-Glenwood Lexington TEI, LLC and Man-Glenwood Lexington TEI, LDC April 30, 2004…

Manufacturers Adviser Corp (Sep. 10, 2002) (Advisory Representatives)

Tuesday, 10 September 2002 08:00 No-Action Letter under: Investment Company Act of 1940 – Section 17j and Rule 17j-1 Investment Advisers Act of 1940 Section 204 and Rule 204-2 Manufacturers…

Mellon Equity Associates, LLP (Apr. 1, 2005) (Advisory Contracts)

Friday, 01 April 2005 08:00 Investment Company Act of 1940 – Section 15(a) and 2(a)(20) Mellon Equity Associates, LLP April 1, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION…

Mercy Investment Program, Inc. (Jun. 12, 2003) (Investment Company Registration)

Thursday, 12 June 2003 08:00 No-Action Letter under Investment Company Act of 1940 Section 7 and 3( c )(10) Mercy Investment Program, Inc. June 12, 2003 Response of the Office…

Metro Insurance and Annuity (Jun. 6, 2003) (Investment Company Registration)

Friday, 06 June 2003 08:00 No-Action Letter under Investment company Act of 1940 Section 7(b) Metropolitan Insurance and Annuity Company June 6, 2003 Response of the Office of Chief Counsel…

Mexico Equity and Income Fund (Nov. 15, 2001) (Directors)

Thursday, 15 November 2001 08:00 No-Action Letter under: Investment Company Act – Section 17(d) and Rule 17d-1 The Mexico Equity and Income Fund NOVEMBER 15, 2001 RESPONSE OF THE OFFICE…

ML-Lee Acquisition Fund II, L.P. (Mar. 4, 2003) (Registration)

Tuesday, 04 March 2003 08:00 No-Action Letter under Securities Exchange Act of 1934 Section 13(a) and 15(d) ML-Lee Acquisition Fund II, L.P. and ML-Lee Acquisition Fund (Retirement Accounts) II, L.P…

MTB Group of Funds (Oct. 21, 2003) (Exemptive Applications)

Tuesday, 21 October 2003 08:00 Investment Company Act of 1940 Sections 6¬©, 17(b), 12(d)(i)(j) and Rule 17d-1 MTB Group of Funds October 21, 2003 RESPONSE OF THE OFFICE OF INVESTMENT…

Mutual Fund Directors Forum (May 9, 2002) (Independent Directors)

Thursday, 09 May 2002 08:00 No-Action Letter under Investment Company Act – Section 17(d), Rule 17d-1 Mutual Fund Directors Forum May 9, 2002 Mutual Fund Directors RESPONSE OF THE OFFICE…

National Compliance Service (Nov. 30, 2005) (Code of Ethics)

Wednesday, 30 November 2005 08:00 Investment Advisers Act of 1940 – Rule 204A-1, 206(4)-7 and Section 204A, 203(e)(6) Investment Company Act of 1940 – Rule 17j-1 National Compliance Service November…

Neuberger Berman Management, Inc. (Apr. 30, 2003) (Fund of Funds)

Wednesday, 30 April 2003 08:00 No-Action Letter under: Investment Company Act of 1940 – Section 6(c) and Rule 17(d) Neuberger Berman Management Inc. et.al. April 30, 2003 RESPONSE OF THE…

NFL Players Association (Jan. 25, 2002) (Cash Solicitation)

Friday, 25 January 2002 08:00 No-Action Letter under: Investment Advisers Act of 1940 – Sections 202(a)(11); 206(4) and Rule 206(4)-3 National Football League Players Association January 25, 2002 RESPONSE OF…

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