
No Action Letter Van Kampen Funds Inc Form
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People also ask
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What is a no action request for the SEC?
Most no-action letters describe the request, analyze the particular facts and circumstances involved, discuss applicable laws and rules, and, if the staff grants the request for no action, concludes that the SEC staff would not recommend that the Commission take enforcement action against the requester based on the ...
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What happened to Van Kampen funds?
Most of Morgan Stanley's asset management activities were principally conducted under the Morgan Stanley and Van Kampen brands. On October 19, 2009, Morgan Stanley announced that Van Kampen would be sold to Invesco for $1.5 billion. After the acquisition, Invesco ceased using the Van Kampen name.
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How to search SEC no-action letters?
You can retrieve SEC No Action Letters by searching for keyword, company name, law firm name, date, the law/reg/rule that the NAL concerns, or a combination of these. 2. Open Practice Areas and confirm that “Federal'”(within “Securities”) is available and selected.
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What is the SEC no action letter process?
Most no-action letters describe the request, analyze the particular facts and circumstances involved, discuss applicable laws and rules, and, if the staff grants the request for no action, concludes that the SEC staff would not recommend that the Commission take enforcement action against the requester based on the ...
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What is an SEC no action letter?
A type of letter issued by the SEC staff to an issuer, in response to a request letter from the issuer, stipulating that the staff does not object to a course of action proposed by the issuer.
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What does no action letter mean?
A quick definition of no-action letter: A no-action letter is a letter from a government agency that says they won't take action against someone if the facts they presented are true.
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How to cite SEC no action letter?
Interpretive Letters, No-Action Letters, and Exemptive Letters: Cite a service (rule 19) or an electronic database (rule 18.3). Include the full name of the correspondent and the full date on which the letter became publicly available.
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Are no-action letters public?
No-action letters are published in the CCH Blue Sky Law Reporter and on Lexis and Westlaw. No-action letters are public records.
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