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.


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

Cybersecurity

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

Subsidiaries

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