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Ac:r Se.c. .Ac.-L of (433) ieA

Agency decision · Agency decision

No. 96-423-CC RESPONSE OF THE OFFICE OF CHIEF COUNSEL ITT Hartford Mutual Funds DIVISION OF INVESTMENT MANAGEMENT File No. 811-7589 Your letter of October 25, 1996 requests assurance that the staff would … Washington, DC 20549 Rule 482 under the Securities Act of1933 Rule 34b- 1 under the Investment Company Act of 1940 Re: ITT Hartford Mutual Funds, Inc.

Division of Investment Management

Agency decision · Agency decision

Non-U.S. Individuals Non-Profits State/Muni. Govt. Entities State/Muni. Govt. Pension Plans U.S. … Non-U.S. Individuals Non-Profits State/Muni. Govt. Entities State/Muni. Govt. Pension Plans U.S.

Division of Investment Management

Agency decision · Agency decision

Analytics Office Annual Registered Investment Company Update Form N-CEN Data, period ending December 2025 This is a report of the Staff of the Division of Investment Management’s Analytics Office of the U.S … 335 280 346 67 160 2024 2,813 2,067 1,726 2,029 1,814 1,530 914 669 575 423 482 298 347 198 172 2025 3,009 2,443 2,378 2,058 1,995 1,349 782 640 614 513 503 385 283 219 194 Table 6.27: Aggregate ATNA

Division of Investment Management

Agency decision · Agency decision

Non-U.S. Individuals Non-Profits State/Muni. Govt. Entities State/Muni. Govt. Pension Plans U.S. … Non-U.S. Individuals Non-Profits State/Muni. Govt. Entities State/Muni. Govt. Pension Plans U.S.

U.S. Securities and Exchange Commission

Agency decision · Agency decision

Non-U.S. Individuals Non-Profts State/Muni. Govt. Entities State/Muni. Govt. Pension Plans U.S. … Non-U.S. Individuals Non-Profts State/Muni. Govt. Entities State/Muni. Govt. Pension Plans U.S.

Division of Investment Management

Agency decision · Agency decision

Non-U.S. Individuals State/Muni. Govt. Entities Non-Profits U.S. Individuals State/Muni. Govt. … Non-U.S. Individuals State/Muni. Govt. Entities Non-Profits U.S. Individuals State/Muni. Govt.

Division of Investment Management

Agency decision · Agency decision

Unknown Non-U.S. … Unknown Non-U.S.

Division of Investment Management

Agency decision · Agency decision

Entities Non-U.S. Individuals State/Muni. Govt. Pension Plans U.S. … Entities Non-U.S. Individuals State/Muni. Govt. Pension Plans U.S.

No-Action Letter: Department of Labor (October 26, 2011)

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Incoming Letters U.S. Department of Labor, Employee Benefits Security Administration Final Rule: Fiduciary Requirements for Disclosure in Participant-Directed Individual Account Plans , U.S. … Department of Labor, Employee Benefits Security Administration (75 FR 64910) Final Rule: Requirements for Fee Disclosure to Plan Fiduciaries and Participants � Applicability Dates , U.S.

Division of Investment Management

Agency decision · Agency decision

Unknown Non-U.S. … Unknown Non-U.S.

Investment Company Institute, et al.: No

Agency decision · Agency decision

[2] In the ARA Letter, we agreed to extend to Non-ERISA Plans our position in the Staff No-Action Letter to the U.S. … Related Letter Staff Letter (Securities Act of 1933 — Rule 482) , February 18, 2015 http://www.sec.gov/divisions/investment/noaction/2015/ investmentcompanyinstitute-111615-482.htm Home

No-Action Letter: American Retirement Association (February 18, 2015)

Agency decision · Agency decision

No. 2012127934 File No. 132-3 In the Staff No-Action Letter to the U.S. … Related Letter Staff Letter (Securities Act of 1933 — Rule 482) , November 16, 2015 http://www.sec.gov/divisions/investment/noaction/2015/american-retirement-sssociation-021815-482.htm Home

IN THE UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

Provident Securities Co., 423 U.S. 232, 252 (1976) (quoting Bershad v. McDonough, 428 F.2d at 696). See also Gollust v. Mendell, 501 U.S. 115, 122 (1991); Reliance Electric Co. v. … Provident Securities Co., 423 U.S. at 252. See also Gollust v. Mendell, 501 U.S. at 122; H.R. Rep. No. 1383, 73d Cong., 2d Sess. 13 (1934).

Conformed to Federal Register version

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McMahon, 482 U.S. 220, 228-38 (1987) (“McMahon”). 31 McMahon, 482 U.S. at 228-29. … U.S. at 228. 35 Rodriguez, 490 U.S. at 482. 36 Id. at 481. 37 Id. 38 Id. 485-86.

U.S. Securities and Exchange Commission

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Unknown Non-U.S. … Unknown Non-U.S.

AMRICA.N PVNDB DXBTRXVTOB INC

Agency decision · Agency decision

English and must exposure in that language even if they do not to conduct its fluently it read adhere the to Fra.iklin letter Pursuant Non-English Sales_Materini.s_Used to Rules and 1311 482 … English language that are accompanied of the and 10a with Sections in accordance prospectus 134 or under Rule and Securities Act of 1933 1933 is prospectus of the 1933 Act when only an English language 482

Division of Investment Management

Agency decision · Agency decision

Investment Management Analytics Office Registered Fund Statistics Form N-PORT Data, period ending June 2024 This is a report of the Staff of the Division of Investment Management’s Analytics Office of the U.S … 4,949 3,178 772 5 257 4,211 1,181 2,236 4 4 3,425 9 766 *** *** 778 25,309 Jun 2024 11,978 182 24 25 12,209 255 4,678 32 2 4,966 3,235 765 5 258 4,263 1,382 2,018 4 4 3,409 8 780 *** *** 792 25,639 See U.S

Commission Legal Brief: NASD Dispute Resolution, Inc. and New York Stock Exchange, Inc., v. Judicial Council of California, et al.

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See 482 U.S. at 234. … Thomas , 482 U.S. 483, 492 n.9 (1987).

Division of Investment Management

Agency decision · Agency decision

Management Analytics Office Registered Fund Statistics Form N-PORT Data, period ending September 2024 This is a report of the Staff of the Division of Investment Management’s Analytics Office of the U.S … 3,400 800 5 267 4,472 1,380 2,156 4 4 3,544 16 794 *** *** 813 26,477 Sep 2024 12,508 197 25 7 12,737 256 4,875 31 2 5,163 3,447 804 6 270 4,527 1,596 2,003 4 5 3,607 11 814 *** *** 825 26,859 See U.S

Division of Investment Management

Agency decision · Agency decision

Entities Non-Profits Non-U.S. Individuals State/Muni. Govt. Pension Plans U.S. … Entities Non-Profits Non-U.S. Individuals State/Muni. Govt. Pension Plans U.S.