1407001 Informal Interpretation
… Interpretation From: (Redacted) Sent: Tuesday, July 01, 2014 5:15 PM To: Verne, B. Michael Subject: Two (easy) …
Date
Rule
801.11(e), 801.1
1. Correct- 801.11(e) says "securities" not "voting securities". We have interpreted this to mean voting and non-voting securities, as well as non-corporate interests. 2. Agree KW concurs.
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