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[19695]
February 14, 2006
TO: BROKER/DEALER ADVISORY COMMITTEE No. 6-06
BROKER/DEALER ASSOCIATE MEMBERS No. 1-06
CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-06
COMPLIANCE ADVISORY COMMITTEE No. 6-06
INVESTMENT ADVISER ASSOCIATE MEMBERS No. 4-06
INVESTMENT ADVISER MEMBERS No. 8-06
SEC RULES MEMBERS No. 16-06
SMALL FUNDS MEMBERS No. 13-06
RE: SUMMARY OF SEC NO-ACTION LETTERS -- SERIES 92
Attached is a summary of recent no-action letters issued by the Securities and Exchange
Commission staff relating to investment company and investment adviser matters. The summary
includes only those items that we believe are of interest or importance to Institute members and do not
necessarily include all relevant facts. In view of these limitations, members should not rely on Institute
summaries as an all-inclusive survey of staff positions in these matters. Copies of the complete text of
the summarized items are available on the SEC’s website, as noted at the end of the summary.
Jane G. Heinrichs
Associate Counsel
Attachment (in .pdf format)
Note: Not all recipients receive the attachment. To obtain a copy of the attachment, please visit our members website
(http://members.ici.org) and search for memo 19695, or call the ICI Library at (202) 326-8304 and request the attachment
for memo 19695.