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监管与法律 · 2006/9/81 分钟阅读

Delaware Investments Dividend and Income Fund, Inc., et al., Notice of Intention To Rescind an Order

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摘要

On April 15, 2002, the Commission issued an order on an application filed by Delaware Investments Dividend and Income Fund, Inc. and Delaware Investments Global Dividend and Income Fund (together, the "Applicants") under section 6(c) of the Act granting an exemption from section 19(b) of the Act and rule 19b-1 under the Act (the "Application").\1\ On August 31, 2006, the Commission issued an order finding, among other things, that Delaware Service Company, Inc. ("DSC") caused and aided and abetted the Applicants' violations of section 19(a) of the Act and rule 19a-1 under the Act and violated section 34(b) of the Act by making a material misrepresentation to the Commission in the Application ("Order Finding Violations").\2\ The Commission is issuing this notice of the Commission's intention to rescind the Exemptive Order on the basis of the Order Finding Violations. ---------------------------------------------------------------------------

来源原始语言: Federal Register — All Documents打开原始公告 →

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