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…
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…
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…
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….
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….
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….
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…
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…
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…
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…
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, 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…
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…
To explore the process to launch a private fund or investment management business, complete a merger or acquisition, or otherwise take your business to the next level, click here to schedule a complimentary consultation.
Let's Connect