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March 31, 1977
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March 31, 1977
Use of soft dollars and directed commission arrangements by ERISA fiduciaries
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July 24, 1986
No-action letter – Mark Bailey & Co. (directed brokerage, disclosure, conflicts)
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May 02, 1988
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January 01, 2001
OCIE Document Request List – Northeast Regional Office
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February 27, 2002
OCIE Document Request List – Washington, DC – proxy voting
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July 29, 2002
Performance Advertising Examination
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August 03, 2002
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