SEC's Division of Investment Management Staff No-Action and Interpretive Letters

Jan 14 08

The SEC's Division of Investment Management Staff No-Action and Interpretive Letters contains details on several recent protective actions by advisors, including those involving TDAM Money Market Portfolio, SEI Liquid Asset Trust Prime Obligation Fund, SEI Daily Income Trust Money Market Fund, SEI Daily Income Trust Prime Obligation Fund, and STI Classic Funds. Most of these letters seek exemptions from Section 17(a) of the Investment Company Act of 1940, requesting permission to conduct affiliated transactions between an advisor and a fund.

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