B-133227: Sep 18, 1976

An opinion was requested concerning adoption of a rule which would waive the registration fee prescribed in the Securities Act of 1933, as amended, by prescribing a different means of calculating the fee for open-end management companies (mutual funds). The proposed change would apply to newly issued securities which merely replace securities redeemed during the preceding year. Although mutual fun...

B-133227: Jan 3, 1972

NOR IS GAO AWARE OF ANY OTHER LEGAL BASIS FOR THE PAYMENTS. A SEC POLICY DECISION WAS MADE TO STAFF POSITIONS IN THE STUDY GROUP ON THE BASIS OF APPOINTMENTS TO "BE RECORDED AS 'EXCEPTED APPOINTMENT NTE' (NOT TO EXCEED) AND A DATE.". DILLER WAS APPOINTED AS AN ECONOMIST. AT WHICH TIME HIS OFFICIAL DUTY STATION WAS DESIGNATED AS WASHINGTON. HIS APPOINTMENT WAS EXTENDED FOR A PERIOD NOT TO EXCEED DE...

B-133227: Sep 13, 1976

WE ARE NOT AWARE OF ANY AUTHORITY FOR THE COMMISSION TO ISSUE REGULATIONS WHICH WOULD. SECURITIES REGISTRATION FEES FOR MUTUAL FUNDS.: WE HAVE BEEN ASKED BY THE GENERAL COUNSEL. PROVIDES: "AT THE TIME OF FILING A REGISTRATION STATEMENT THE APPLICANT SHALL PAY TO THE COMMISSION A FEE OF ONE-FIFTIETH OF 1 PERCENTUM OF THE MAXIMUM AGGREGATE PRICE AT WHICH SUCH SECURITIES ARE PROPOSED TO BE OFFERED. T...

B-133227: Published: Jan 23, 1978. Publicly Released: Jan 23, 1978.

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