RegAlert2001-02-09
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SEC Division of Investment Management staff letter: ING Mutual Funds Management Co. LLC, ING Funds Distributor Inc. and Reich & Tang Distributors, Inc
The Division of Investment Management will not recommend that the Commission take enforcement action if ING Mutual Funds Management Co. LLC and ING Funds Distributor Inc. rely on certain exemptive orders issued to Reich & Tang Distributors Inc. and various unit investment trusts pending action on a requested renewal order. This assurance extends the previous temporary position until the earlier of the issuance of the Commission's order or one year from the date of the letter. ING agrees to comply with the terms and conditions of the exemptive orders as though they were imposed directly on ING.
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ING Mutual Funds Management Co. LLC, et al.
February 9, 2001
RESPONSE OF THE OFFICE OF INVESTMENT COMPANY REGULATION DIVISION OF INVESTMENT MANAGEMENT
Our Ref. No. 01-1-ICR ING Mutual Funds Management Co. LLC ING Funds Distributor, Inc. and Reich & Tang Distributors, Inc
Your letter of February 9, 2001 requests our assurance that we would not recommend that the Commission take any enforcement action under the Investment Company Act of 1940 ("Act") if ING Mutual Funds Management Co. LLC and ING Funds Distributor, Inc. (collectively, "ING") rely on certain exemptive orders issued to Reich & Tang Distributors, Inc. ("Reich & Tang") and various unit investment trusts registered under the Act ("UITs") pending action by the Commission on ING's application for an exemption under sections 6(c), 17(b), 11(a) and 11(c) of the Act. The assurances you request would extend identical, temporary assurances provided to you by the Commission on February 8, 2000 ("Previous Letter"). 1
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