1940-08-22

Added 2026-09-23

Investment Advisers Act of 1940

US Federal

Congress of the United States

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Morgan Securities LLC2016 SEC Division of Corporation Finance no-action letter: Barclays PLC and Barclays Bank PLC2016 SEC Division of Investment Management staff letter: F. Porter Stansberry2015 SEC Division of Investment Management staff letter: Willkie Farr & Gallagher2015 SEC Division of Corporation Finance no-action letter: Citigroup Inc.2015 SEC Division of Corporation Finance no-action letter: Carlyle GMS Finance2015 SEC Division of Corporation Finance no-action letter: Citizen VC, Inc.2015 SEC Division of Investment Management staff letter: Carey Credit Income Fund et al.2015 SEC Division of Corporation Finance no-action letter: Barclays PLC2015 SEC Division of Corporation Finance no-action letter: Oppenheimer & Co. 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Taiwan Fund2000 CFTC Staff Letter 99-30: No-Action Position on CPO Registration for Co-General Partner1999 CFTC Staff Letter 99-04: Confirmation of Continued CTA Registration Exemption Under Rule 4.14(a)(8)1998 SEC Division of Investment Management staff letter: Daughters of Charity National Health System, Inc.1998 SEC Division of Investment Management staff letter: American Century Companies, Inc. / J.P. Morgan & Co.1997 CFTC Staff Letter 97-94: No-Action Relief from CPO and CTA Registration for ERISA Group Trust Sponsor and Trustee1997 CFTC Staff Letter 97-88: No-Action Relief from CTA Registration for Subadvisor to Canadian Funds1997 SEC Division of Investment Management staff letter: Franklin Templeton Group of Funds1997 CFTC Staff Letter 97-100: No-Action Position for CTA Registration Exemption for Series Trust Investment Manager1997 SEC Division of Investment Management staff letter: Merrill Lynch Asset Management1997 CFTC Staff Letter 97-38: No-Action for Registered Investment Advisers Providing Cash Management to FCMs1997 CFTC Staff Letter 97-05: No-Action for Exemption from CTA Registration for Offshore Fund Advice1997 SEC Division of Investment Management staff letter: Bramwell Growth Fund1996 SEC Division of Investment Management staff letter: Lazard Freres Asset Management1996 SEC Division of Investment Management staff letter: The Standish Ayer & Wood Inc. Stable Value Group Trust1995 CFTC Staff Letter 95-109: No-Action Position on CPO and CTA Registration for Luxembourg Management Company and US Investment Adviser1995 CFTC Staff Letter 95-108: No-Action for Certain Fund Directors Not Registering as CPOs1995 SEC Division of Investment Management staff letter: Mark A. Bush1995 SEC Division of Investment Management staff letter: George Colman1995 SEC Division of Investment Management staff letter: Gilbert G. Beezley1995 CFTC Staff Letter 95-77: No-Action Relief from CPO and CTA Registration for Puerto Rico Fund Directors and Adviser1995 SEC Division of Investment Management staff letter: Linsco/Private Ledger Corp.1994 SEC Division of Investment Management staff letter: Philadelphia Stock Exchange, Inc.1994 SEC Division of Investment Management staff letter: Townsend and Associates, Inc.1994 CFTC Staff Letter 94-86: No-Action Relief for CTAs Advising Foreign Investment Companies1994 SEC Division of Investment Management staff letter: Stephen R. Kelly1994 CFTC Staff Letter 94-81: No-Action Relief for CTA Registration1994 CFTC Staff Letter 94-52: No-Action Relief from CPO and CTA Registration for Registered Investment Adviser Operating a Group Trust1994 SEC Division of Investment Management staff letter: R. Bryan Stoker1994 CFTC Staff Letter 94-21: No-Action Relief from CPO and CTA Registration for Hedging Activities1994 CFTC Staff Letter 93-108 (No-Action): CTA Registration Relief for Trust Company Sub-Adviser to Offshore Investment Companies1993 CFTC Staff Letter 93-91: No-Action Relief for Investment Manager and Trustee of Group Trust from CPO and CTA Registration1993 SEC Division of Investment Management staff letter: Sedgwick Consulting Group1993 SEC Division of Investment Management staff letter: Uniao de Bancos de Brasileiros S.A.1992

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