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Your search for 'IA Registration:Exemptions' returned 28 results.

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Albrecht -- NASD NTM 04-79
01/01/2007
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Credit Agricole Asset Management Alternative Investments, Inc.
08/07/2006
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Investment Company Act of 1940 - Section 2(a)(51)(A)(iii) SCP Private Equity Partners II, L.P.
06/06/2006
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No-Action Letter under Investment Advisers Act of 1940 — Section 202(a)(11)(c) and Rule 202(a)(11)-1
12/16/2005
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Investment Advisers Act of 1940 - Rule 202(a)(11)-1 — Applicability to Persons Associated with a Broker-Dealer Exercising Investment Discretion for Related Accounts
11/17/2005
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Application of Rule 202(a)(11)-1 to a Broker-Dealer's Exercise of Investment Discretion over Cash Management Accounts
09/29/2005
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Investment Company Act of 1940 - Section 7 and 3(a)(1) Royal Dutch Shell PLC
05/17/2005
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Investment Company Act of 1940 - Rule 3a-8 Ark Therapeutics Group plc
04/15/2005
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Investment Company Act of 1940 - Section 3(c)(1) and 3(c)(7) The Goldman Sachs Group, Inc.
03/08/2005
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Certain Broker-Dealers Deemed Not To Be Investment Advisers
01/06/2005
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 275[Release Nos. 34-50980; IA-2340; File No. S7-25-99]RIN 3235-AH78Certain Broker-Dealers Deemed Not To Be Investment AdvisersAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Securities and Exchange Commission is reproposing a ru ...
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