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No Action Letter Van Kampen Funds Inc Form
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People also ask
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What does no action relief mean?
No-Action Relief means the written concurrence from the SEC with the Company's position regarding its financial statements set forth in its letter dated [ ], 2010 to the Office of Chief Accountant of the Division of Corporate Finance of the SEC. -
What is the policy on no-action letters?
An individual or entity who is not certain whether a particular product, service, or action would constitute a violation of the federal securities laws may request a "no-action" letter from the SEC staff. -
What is the purpose of a no-action letter?
When the SEC staff issues a no-action letter, it usually confirms in the letter that it will not recommend that the SEC take enforcement action relating to the issuer's proposed activities as long as the specific facts and circumstances presented by the issuer do not change. -
What is an in kind redemption?
In-kind redemptions are non-monetary payments made for securities or other instruments. Rarely used in the mutual fund industry, in-kind redemptions are common with exchange traded funds (ETFs). Fund managers may feel redemptions hurt long-term investors. -
What does no-action letter mean?
A no-action letter represents the position only of the Division that issued it, or the Office of the General Counsel if issued thereby. A no-action letter binds only the issuing Division or the Office of the General Counsel, as applicable, and not the Commission or other Commission staff. -
What is Section 2 A 41 of the Investment Company Act of 1940?
Section 2(a)(41) of the 1940 Act requires funds to value their portfolio investments using the market value of their portfolio securities when market quotations are "readily available." When a market quotation for a specific portfolio security is unreliable or otherwise not readily available, Section 2(a)(41) requires ... -
How do I find no-action letters?
No-action letters are available in the following sources: Federal Securities Law Reporter. SEC website - Division of Corporation Finance No-Action, Interpretive and Exemptive Letters. Lexis. Westlaw. -
What is a no action?
Through the No-Action Letter (NAL) process, established by Commission order on November 18, 2005, persons may obtain written advice as to whether staff would recommend that the Commission take no enforcement action with respect to specific proposed transactions, practices, or situations.
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