Keywords: Investment Company Act of 1940 (the 1940 Act)
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Journal Articles

U.S. Securities and Exchange Commission (SEC) Staff issues no-action relief to facilitate implementation of Markets in Financial Instruments Directive II (MiFID II) research provisions

Paul J. Delligatti, William P. Lane
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2018) 19 (1): 53–57.
https://doi.org/10.1108/JOIC-02-2018-0014
Published: 08 May 2018
... II (MiFID II) Investment Advisers Act of 1940 (the Advisers Act) Investment Company Act of 1940 (the 1940 Act) SEC no-action letters On October 26, 2017, the staff (the Staff) of the U.S. Securities and Exchange Commission (SEC) issued three related no-action letters[ 1 ] providing market...
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