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Investment Management Staff Legal Bulletins

Staff Legal Bulletins summarize the Commission staff's views regarding various aspects of the federal securities laws and SEC regulations. They represent interpretations and policies followed by the Division of Investment Management on any given matter. Because they represent the views of the staff, staff legal bulletins are not legally binding.

Bulletin No. Date Details
SLB 11 Sep. 19, 2000 The Applicability of the Investment Advisers Act of 1940 to Financial Advisors to Municipal Bond Issuers;
Division of Investment Management
SLB 6 Jul. 22, 1998 A reminder to public issuers, broker-dealers, investment advisers, and investment companies to consider their disclosure obligations in connection with the January 1, 1999, conversion by 11 member states of the European Union to a common currency, the "euro.";
Divisions of Corporation Finance, Market Regulation and Investment Management
SLB 5 Jan. 12, 1998 A reminder to public operating companies, investment advisors, and investment companies to consider their disclosure obligations relating to anticipated costs, problems and uncertainties associated with the Year 2000 issue (Revised!);
Division of Corporation Finance and the Division of Investment Management

See also: All Staff Legal Bulletins

 

http://www.sec.gov/divisions/investment/investment-management-staff-legal-bulletins.shtml


Modified: 01/08/2013