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Division of Investment Management
Topical Reference Guide


This Topical Reference Guide is not an exhaustive list of Commission action, staff guidance or other staff information pertaining to a particular topic.  The Division will continue to update these topics with new and historical materials and by uploading staff no-action letters that also can be accessed here.

  *  Accounting and Auditing
  *  Advertising/Performance/Social Media
  *  Advisory Contract/Fees – Investment Adviser
  *  Advisory Contract/Fees – Investment Company
  *  Affiliated Transactions/Joint Transactions
  *  Anti-Money Laundering
  *  Asset-Backed Securities Issuers
  *  Assignment
  *  Best Execution/Soft Dollars
  *  Business Development Companies
  *  Closed-End Funds
  *  Code of Ethics
  *  Commodities
  *  Compliance – Investment Companies
  *  Credit Ratings
  *  Custody – Investment Adviser
  *  Custody – Investment Company
  *  Derivatives
  *  Distribution and Servicing Arrangements
  *  Employee Benefit Plans/ERISA
  *  Emergencies
  *  Employee Securities Companies
  *  Exchange Traded Funds (ETFs)
  *  Family Offices
  *  Fidelity Bond and D&O Insurance
  *  Form 13F
  *  Form ADV/Registration and Disclosure
  *  Form N-1A/Registration and Disclosure
  *  Form N-2/Registration and Disclosure
  *  Form N-3/Registration and Disclosure
  *  Form N-4/Registration and Disclosure
  *  Form N-6/Registration and Disclosure
  *  Form N-14
  *  Form N-CSR/N-Q
  *  Form N-PX
  *  Form N-SAR
  *  Form PF
  *  Fund Governance
  *  Fund Mergers
  *  Fund of Funds
  *  Ineligible/Disqualified Firms
  *  Insured Investments
  *  International
  *  Investment Advisers General
  *  JOBS Act
  *  Money Market Funds
  *  Pay-to-Play
  *  Portfolio Management – Concentration/Diversification
  *  Portfolio Management – Liquidity/Leverage/Names Rule
  *  Privacy/Identity Theft
  *  Private Funds
  *  Prospectus Delivery
  *  Proxy Voting/Shareholder Meetings
  *  Real Estate/REITs
  *  Recordkeeping
  *  Redemptions
  *  Securities Lending
  *  Senior Securities
  *  Solicitation/Referral Arrangements
  *  Status – Investment Adviser
  *  Status – Investment Company
  *  Subadvisers/Multi-Managers
  *  Trading Issues – Aggregation/Allocation
  *  Trading Issues – Principal Transactions/Agency Cross
  *  Unit Investment Trusts (UITs)
  *  Valuation
  *  Volcker Rule
  *  Wrap Accounts/Separately Managed Accounts

Topics

Accounting and Auditing

Advertising/Performance/Social Media

Advisory Contract/Fees – Investment Adviser

Advisory Contract/Fees – Investment Company

Affiliated Transactions/Joint Transactions

Anti-Money Laundering

Asset-Backed Securities Issuers

Assignment

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No Action Letters
    • FAQ
    • Other Guidance

Business Development Companies

Closed-End Funds

Code of Ethics

Commodities

Compliance – Investment Companies

Credit Ratings

Custody – Investment Adviser

Custody – Investment Company

Derivatives

Distribution and Servicing Arrangements

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No Action Letters
    • FAQ
    • Other Guidance

Emergencies

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No Action Letters
    • FAQ
    • Other Guidance

Employee Benefit Plans/ERISA

Employee Securities Companies

Exchange Traded Funds (ETFs)

Family Offices

Fidelity Bond and D&O Insurance

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No Action Letters
    • FAQ
    • Other Guidance

Form 13F

Form ADV/Registration and Disclosure

Form N-1A/Registration and Disclosure

Form N-2/Registration and Disclosure

Form N-3/Registration and Disclosure

Form N-4/Registration and Disclosure

Form N-6/Registration and Disclosure

Form N-14

Form N-CSR/N-Q

Form N-PX

Form N-SAR

Form PF

Fund Governance

Fund Mergers

Fund of Funds

Ineligible/Disqualified Firms

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No Action Letters
    • FAQ
    • Other Guidance

Insured Investments

International

Investment Advisers - General

JOBS Act

Money Market Funds

Pay-to-Play

Portfolio Management – Concentration/Diversification

Portfolio Management – Liquidity/Leverage/Names Rule

Privacy/Identity Theft

Private Funds

Prospectus Delivery

Proxy Voting/Shareholder Meetings

Real Estate/REITs

Recordkeeping

Redemptions

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance
    • No Action Letters
    • FAQ
    • Other Guidance

Securities Lending

Senior Securities

Best Execution/Soft Dollars

Solicitation/Referral Arrangements

Status – Investment Adviser

Status – Investment Company

Subadvisers/Multi-Managers

Trading Issues – Aggregation/Allocation

Trading Issues – Principal/Agency Cross

Unit Investment Trusts (UITs)

Valuation

Volcker Rule

Wrap Accounts/Separately Managed Account

  • Forms
  • Exemptive Applications
  • Litigation
  • Resources
  • Rulemaking
  • Staff Guidance

http://www.sec.gov/divisions/investment/guidance.shtml


Modified: 10/07/2014