Table of Cases

Principal cases are in italics. Other cases discussed in the text are in roman type.

Bancroft Convertible Fund, Inc. v. Zico Inc. Holdings, Inc.
Bank of America Canada
Brown & Wood
Burks v. Lasker

Calvert Social Index Fund
Canary Capital Partners, State v., Complaint
Capital Gains Research Bureau, Inc., SEC v.
Carter, William R.
Clarke Lanzen Skalla Investment Firm, Inc., In re
Comdisco. Inc.

Deutsch , United States v.

Edenfield v. Fane
Entrepreneurial Assistant Group, Inc.
Equitable Life Assurance Society of the United States
Equity Index Insurance Products

Fehn, SEC v.
Fifth Avenue Coach Lines, Inc., SEC v.
First Australian Fund, Inc.
Fortis Benefits Insurance Company

Goldstein v. SEC
Grunburg, Robert A.
Gun Soo Oh Park, SEC v.
Gutfreund, John H.

Hyperion Securities Litigation, In re

ICOS Corp.
Investment Company Institute (June 30, 1994)
Investment Company Institute (Feb. 15, 1996)
Investment Company Institute ( Apr. 30, 2001 )

John Nuveen & Co. , Inc.

Kaye Scholer
Krinsk v. Fund Asset Management, Inc.

Lamp Technologies, Inc.
Life Partners, Inc., SEC v.
Lowe v. SEC

Merrill Lynch Asset Management, L.P. (July 2, 1996, no-action letter)
Merrill Lynch Asset Management, L.P. (Apr. 14, 1997, No. 22616)
Merrill Lynch, Pierce, Fenner & Smith Inc.
Mitchell Hutchins Asset Management Inc.
Moses v. Burgin

National Casualty Co., Federal Trade Comm’n v.
National Presto Industries, SEC v.

Ohralik v. Ohio Bar Assn.
OTC-100 Fund, Inc.
Owen-Michael, Patricia

Paul v. Virginia
Penn Series Funds, Inc.
Philadelphia Fund, Inc.
Prudential Insurance Co. v. SEC

Rosenfeld v. Black

Sagittarius Fund, Inc.
Sierega & Co.
South-Eastern Underwriters Assn. , United States v.
Speaker, Ronald V.
Spellacy v. American Life Ins. Assn.
Strougo v. Scudder, Stevens & Clark, Inc.

T. Rowe Price Spectrum Fund Inc.
Tabankin v. Kemper Short-Term Global Income Fund
Talley Industries, SEC v.
Tonopah Mining Co.
Travelers T-Mark Annuity

United Benefit Life Ins. Co., SEC v.
USAA Investment Management Co.

Van Kampen Investment Advisory Corp.
Vanguard Municipal Bond Fund, Inc.
Vantage Special Tax-Advantaged Retirement Fund, Inc.
Variable Annuity Life Insurance Co. of America , SEC v.

W.J. Howey Co., SEC v.
Western Asset Management Co.
White v. Melton

Yahoo! Inc.