Back to Results
First PageMeta Content
Financial regulation / Government / New Deal / Securities Act / Securities Exchange Act / Regulation D / U.S. Securities and Exchange Commission / Securities and Exchange Commission / United States / United States Securities and Exchange Commission / United States securities law / 73rd United States Congress


Division of Corporation Finance No-Action Letter: Janney Montgomery Scott LLC
Add to Reading List

Document Date: 2014-04-09 17:46:47

Open Document

File Size: 247,22 KB

Share Result on Facebook

City

NW Washington / /

Company

Merrill Lynch / Evergreen Investment Management Company LLC / Fenner & Smith Incorporated / Evergreen Investment Services Inc. / Janney Montgomery Scott LLC / Morgan / Lewis & Bockius LLP / Morgan Lewis / Lewis & Bockius LLP / /

Currency

USD / /

/

Event

Product Issues / /

/

Organization

office of Small Business Policy Division / UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON / D.C. / DIVISION OF CORPORATION FINANCE / Division of Enforcement / Securities and Exchange Commission / /

Person

John Ivan / Johanna Losert / Christian J. Mixter / Gerald J. Laporte / /

/

Position

matters involving broker-dealer / qualified independent consultant / Esquire Chief / investment adviser / Consultant / X~ Chief / Office / /

Product

IS / material / nonpublic information / /

ProvinceOrState

Washington / DC / /

URL

www.morganlewis.com / /

SocialTag