SEC No-Action Letters

Investment Company Institute (Nov. 10, 2004) (Closed-end Investment Companies)

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…

Investment Adviser Association (Dec. 2, 2005) (Advertising)

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…

Honeywell International, Inc. (Oct. 7, 2002) (Employee Benefit Plans)

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…

H.E.B. Investment & Retirement Plan (May 18, 2001) (Beneficial Ownership)

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…

ABA Subcommittee on Private Investment Entities (Dec. 8, 2005) (Registration)

Thursday, 08 December 2005 08:00 Investment Advisers Act of 1940: Section 203(b)(3) and Rule 203(b)(3)-1 and 203(b)(3)-2 ABA Subcommittee on Private Investment Entities December 8, 2005 Robert Todd Lang, Chair,…

Schedule a Consultation

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