Other
Investment Management Information and Guidance Updates
Find Information and Guidance updates from the Division of Investment Management:
Information Updates
2023
- INFO-2023-02 – Updates to Form ADV Frequently Asked Questions
- INFO-2023-01 – Expedited Review of Applications & Automatic Withdrawal
2021
- INFO-2021-10 – Withdrawal and Modification of Staff Letters Related To Rulemaking on Investment Adviser Marketing
- INFO-2021-01 – Withdrawal and Modification of Staff Letters Related To Rulemaking on Use of Derivatives and Certain Other Transactions by Registered Investment Companies and Business Development Companies
2020
- INFO-2020-06 – Statement Regarding Withdrawal of Staff Letters Related to Exchange-Traded Funds (ETFs)
- INFO-2020-05 – Statement Regarding Withdrawal of Staff Letters Related to Rulemaking on Fund of Funds Arrangements
- INFO-2020-04 – Statement Regarding Withdrawal of Staff Letters Related to Securities Offering Reform for Closed-End Investment Companies Rulemaking
- INFO-2020-03 – Statement on Hearing Requests on Applications Filed Under the Investment Company Act of 1940 and Investment Advisers Act of 1940
- INFO-2020-02 – Statement Regarding New Resource for Modified or Withdrawn Staff Statements
- INFO-2020-01 – Statement Regarding Withdrawal of Staff Letters Related to Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts Rulemaking
2019
- INFO-2019-01 – Website Updates to Investment Company Forms
2018
- INFO-2018-02 – Statement Regarding Staff Proxy Advisory Letters
- INFO-2018-01 – Updates to Custody Rule Frequently Asked Questions
2017
- INFO-2017-07 – Applicability of Staff Accounting Bulletin No. 118 to Investment Companies Impacted by the Tax Cuts and Jobs Act
- INFO-2017-06 – Information Update for Advisers Filing Certain Form ADV Amendments
- INFO-2017-05 – Updates to Mid-Sized Adviser Frequently Asked Questions
- INFO-2017-04 – Updates to Form ADV Frequently Asked Questions
- INFO-2017-03 – Information Update for Advisers Relying on the Unibanco No-Action Letters
- INFO-2017-02 – Letters to Support Tax Claims in Foreign Jurisdictions
- INFO-2017-01 – Updates to Form PF Frequently Asked Questions
2014
- INFO-2014-06 – Updates to Form PF Frequently Asked Questions
- INFO-2014-05 – Staff Legal Bulletin: Proxy Voting Responsibilities of Investment Advisers
- INFO-2014-04 – Updates to Frequently Asked Questions About Form 13F
- INFO-2014-03 – Exemptive Applications Review: Comparison Documents
- INFO-2014-02 – Division of Investment Management Year in Review
- INFO-2014-01 - Updates to Form PF Frequently Asked Questions
2013
- INFO-2013-11 - Updates to FAQs About Form 13F
- INFO-2013-10 - Updates to Form PF Frequently Asked Questions
- INFO-2013-09 - Exchange-Traded Funds Using Affiliated Index Providers
- INFO-2013-08 - Updates to FAQs About Form 13F
- INFO-2013-07 - Division Extends the Benefits Under Rule 486(b) to Additional Closed End Funds
- INFO-2013-06 - Division Launches Money Market Fund Web Page
- INFO-2013-05 - Money Market Fund Identifier Numbers Made Available to Public
- INFO-2013-04 - Technical Improvements Implemented to Form 13F
- INFO-2013-03 - Updates to FAQs About Form 13F
- INFO-2013-02 - Improvements to Form 13F
- INFO-2013-01 - The Division of Investment Management Posts Office Contact Information
Guidance Update Archive
2017
2016
- 2016-06 - Mutual Fund Fee Structures; see also Frequently Asked Questions on IM Guidance Update 2016-06 (Mutual Fund Fee Structures)
- 2016-05 - Staff Guidance Concerning Investment Adviser Reliance on Predecessor Registrations
- 2016-04 - Business Continuity Planning for Registered Investment Companies
- 2016-03 - Fast Act Changes Affecting Investment Advisers to Small Business Investment Companies
- 2016-02 - Fund Disclosure Reflecting Risks Related to Current Market Conditions
- 2016-01 - Mutual Fund Distribution and Sub-Accounting Fees
2015
2014
- 2014-13 - Guidance Regarding Key Employee Trusts Under the Family Office Rule
- 2014-12 - Guidance Regarding Business Development Companies-Transactions with Certain Second-Tier Affiliates
- 2014-11 - Guidance Regarding Investment Company Consolidation
- 2014-10 - Guidance Regarding Mixed and Shared Funding Orders
- 2014-09 - Business Development Companies with Wholly-Owned SBIC Subsidiaries-Asset Coverage Requirements
- 2014-08 - Guidance Regarding Mutual Fund Enhanced Disclosure
- 2014-07 - Private Funds and the Application of the Custody Rule to Special Purpose Vehicles and Escrows
- 2014-06 - Series Investment Companies: Affiliated Transactions
- 2014-05 - Deregistration of Investment Companies: Applications On Form N-8F
- 2014-04 - Guidance on the Testimonial Rule and Social Media
- 2014-03 - Multi-Manager Funds – Aggregate Advisory Fee Rate
- 2014-02 - Unbundling of Proxy Proposals-Investment Company Charter Amendments
- 2014-01 - Risk Management in Changing Fixed Income Market Conditions
2013
- 2013-14 - Investment Funds Maintained by Charitable Organizations
- 2013-13 - Guidance on the Exemption for Advisers to Venture Capital Funds
- 2013-12 - Fund Names Suggesting Protection From Loss
- 2013-11 - Shareholder Notices of the Sources of Fund Distributions - Electronic Delivery
- 2013-10 - Status of Certain Private Fund Investors as Qualified Clients
- 2013-09 - Fund Advisers Serving "At Cost" or For No Compensation
- 2013-08 - Form 13F Confidential Treatment Requests Based on a Claim of Ongoing Acquisition/Disposition Program
- 2013-07 - Business Development Companies—Separate Financial Statements or Summarized Financial Information of Certain Subsidiaries
- 2013-06 - Merger of Two Exchange-Traded Funds
- 2013-05 - Disclosure and Compliance Matters for Investment Company Registrants That Invest in Commodity Interests
- 2013-04 - Privately Offered Securities under the Investment Advisers Act Custody Rule
- 2013-03 - Counterparty Risk Management Practices With Respect to Tri-Party Repurchase Agreements
- 2013-02 - Compliance With Exemptive Orders
- 2013-01 - Filing Requirements for Certain Electronic Communications
Issues of Interest - Investment Advisers Act
- Investment Advisers Registered with the Commodity Futures Trading Commission ("CFTC") that Advise Private Funds (November 15, 2012)
- Advisory Contracts - Consent (June 15, 2012)
- Advisory Contracts - Transition for Newly Registered and Registering Advisers (March 30, 2012)
- Persons Who Provide Advice Solely Regarding Matters Not Concerning Securities (March 27, 2012)
Issues of Interest - Investment Company Act
- After-Tax Return (February 22, 2013)
- Joint Transactions — Portfolio Holdings of Companies Electing Status as Business Development Companies ("BDCs") (November 27, 2012)
- Affiliated Funds of Funds — Section 12(d)(1) of the Investment Company Act (October 19, 2012)
- Advisory Contracts — Combined Investment Advisory and Service Fees (October 5, 2012)
- Funds Using Tender Option Bond (TOB) Financings (March 29, 2012)
- Business Development Companies — Auditor Verification of Securities Owned (March 12, 2012)
- Rule 18f-3 under the Investment Company Act — Removal of a Class (September 2, 2010)
- Rules 436 and 482 under the Securities Act (August 10, 2010)
Modified: May 28, 2024