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This document is a no-action request from American Odyssey Funds, Inc. seeking assurance from the SEC that it will not recommend enforcement action if amendments are made to a subadvisory agreement
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How to fill out Response of the Office of Chief Counsel Division of Investment Management
01
Gather required documentation pertaining to the investment management inquiry.
02
Access the Response of the Office of Chief Counsel Division of Investment Management form.
03
Begin filling out personal or organizational details as requested in the header section.
04
Clearly state the nature of your inquiry or request in the designated section.
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Provide all relevant facts and details that support your inquiry, ensuring clarity and conciseness.
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Sign and date the response form as required before submitting it.
Who needs Response of the Office of Chief Counsel Division of Investment Management?
01
Investment management firms seeking clarification on regulatory matters.
02
Legal counsel representing clients in investment management issues.
03
Individuals or organizations involved in securities offerings requiring guidance.
04
Compliance officers needing to ensure adherence to investment management regulations.
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People Also Ask about
What does the division of Investment Management do?
Oversees investment advisers and investment companies, including mutual funds and other investment products, that investors may use to help them buy a home, send kids to college, or prepare for retirement.
Who is the chief counsel of the SEC Investment Management?
Kaitlin C. Bottock is Co-Chief Counsel of the Securities and Exchange Commission's Division of Investment Management. In this role, she oversees the Division's legal guidance regarding investment companies and investment advisers. She has served in this role since October 2022.
What is the SEC Division of Investment Management phone number?
Division of Investment Management (IM) For investment company filings (except Forms 13F, N-CEN and 24F-2), call the IM EDGAR inquiry line at (202) 551-6989.
How do I contact the SEC division of Investment Management?
Division of Investment Management (IM) For investment company filings (except Forms 13F, N-CEN and 24F-2), call the IM EDGAR inquiry line at (202) 551-6989.
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What is Response of the Office of Chief Counsel Division of Investment Management?
The Response of the Office of Chief Counsel Division of Investment Management is a formal communication or document issued by the Office of Chief Counsel that addresses inquiries or provides guidance regarding investment management regulations and practices.
Who is required to file Response of the Office of Chief Counsel Division of Investment Management?
Entities such as investment companies, advisers, and other regulated entities under the jurisdiction of the SEC may be required to file responses when seeking clarification or guidance on compliance matters.
How to fill out Response of the Office of Chief Counsel Division of Investment Management?
To fill out the Response, one must provide a clear description of the issue or question, relevant facts, applicable regulations, and any supporting documentation necessary for the Office of Chief Counsel to understand and respond appropriately.
What is the purpose of Response of the Office of Chief Counsel Division of Investment Management?
The purpose of the Response is to provide authoritative guidance and legal interpretations to help regulated entities navigate complex investment management laws and ensure compliance with SEC regulations.
What information must be reported on Response of the Office of Chief Counsel Division of Investment Management?
The information reported should include detailed facts of the situation, legal questions being posed, relevant sections of law or regulation, and any other pertinent information that would assist the Office in providing an informed response.
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