Other Staff Updates for Division of Investment Management Jan. 18, 2014 IM Guidance Updates 2014-3 - Multi-Manager Funds – Aggregate Advisory Fee Rate 2014-2 - Unbundling of Proxy Proposals-Investment Company Charter Amendments 2014-1 - Risk Management in Changing Fixed Income Market Conditions 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: Feb. 6, 2017
