The SEC Speaks in ..., Volume 2Practising Law Institute, 2000 - Securities |
Contents
Public Utility Holding Company | 37 |
C 20549 Electronically submitted comment letters also will be posted on | 47 |
DISCUSSION 17 | 61 |
Copyright | |
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access persons Advisers Act Release amended rule amendments to rule annual assets Bank Beneficiaries broker broker-dealer brokerage CalPERS Canadian retirement accounts codes of ethics Company Act Release compliance counsel custodian custody depository disclosure Division of Investment Eligible Policyholders estimate Exchange Act Exchange Commission exemption fees Form ADV Form N-1A Form N-2 Fund of Funds fund's board Holding Company holdings report independent directors Initial Public Offering interest Investment Advisers Act Investment Company Act Investment Company Institute Investment Management investors issuer Legg Mason MetLife mutual funds paragraph participants pay to play portfolio prime brokerage principal underwriter prohibit proposed amendments proposed rule pursuant qualified purchaser registered investment company repurchase agreement request response rule amendments Schedule 14A Section Securities Act Securities and Exchange shareholders Shawmut Advisers small entities soft dollar Special Purpose Corporation staff supra note transaction unit investment trusts voting