This Topical Reference Guide is designed to assist the public in searching for information regarding topics on which staff guidance is frequently sought. The reference guide is not an exhaustive list of all Commission action, staff guidance or other related resources on a topic and does not represent all of the relevant provisions of the Investment Company Act of 1940, the Investment Advisers Act of 1940 or of other federal securities laws applicable to investment companies and investment advisers.
Check back frequently for new additions to the Topical Reference Guide.
- Staff Guidance and Resources
This Litigation Information Section is designed to assist the public in searching for information regarding frequently occurring litigation topics. The section is not an exhaustive list of all Commission enforcement actions relating to investment companies and investment advisers.
Check back frequently for new additions to the Litigation Information Section.
- Affiliated Transactions/Joint Transactions
- Fraud - Market Manipulation
- Fraud - Misrepresentations
- Fraud - Ponzi Scheme
- Fraud - Prime Bank Scheme
- Fraud - Omissions
- Insider Trading
- Additional Litigation Releases