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Securities and Exchange Commission/Mutual Fund Side of Variable Products
that taking these payments may be a violation of 17(e)(1) of the 1940 act for a registered investment ... piece. There are a couple of issues. One was, under 17(a) of the 1933 Securities Act, could the piece be ...- Authors: Mary Ann Brown, Stephen E Roth, David J Pearlman, Barbara J Walter
- Date: Oct 1995
- Competency: External Forces & Industry Knowledge
- Publication Name: Record of the Society of Actuaries
- Topics: Finance & Investments>Investments; Pensions & Retirement>Funding