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Division of Investment Management
Topical Reference Guide

Oct. 12, 2017

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

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Advertising/Performance/Social Media

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Advisory Contract/Fees – Investment Adviser

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Advisory Contract/Fees – Investment Company

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Affiliated Transactions/Joint Transactions

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Anti-Money Laundering

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Asset-Backed Securities Issuers

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Assignment

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

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Business Development Companies

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Closed-End Funds

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Code of Ethics

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Commodities

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Compliance – Investment Companies

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Credit Ratings

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Custody – Investment Adviser

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Custody – Investment Company

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Cybersecurity

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

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Derivatives

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Distribution and Servicing Arrangements

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Emergencies

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

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Employee Benefit Plans/ERISA

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Employee Securities Companies

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Exchange Traded Funds (ETFs)

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Family Offices

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Fidelity Bond and D&O Insurance

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

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Form 13F

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Form ADV/Registration and Disclosure

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Form N-1A/Registration and Disclosure

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Form N-2/Registration and Disclosure

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Form N-3/Registration and Disclosure

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Form N-4/Registration and Disclosure

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Form N-6/Registration and Disclosure

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Form N-14

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Form N-CEN

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Form N-CSR/N-Q

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Form N-PORT

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Form N-PX

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Form N-SAR

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Form PF

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Fund Governance

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Fund Mergers

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Fund of Funds

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Ineligible/Disqualified Firms

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

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Insured Investments

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International

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Investment Advisers - General

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JOBS Act

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Money Market Funds

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Mortgages/Real Estate/REITs

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Pay-to-Play

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Portfolio Management – Concentration/Diversification

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Portfolio Management – Liquidity/Leverage/Names Rule

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Privacy/Identity Theft

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Private Fund Advisers

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Prospectus Delivery

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Proxy Voting/Shareholder Meetings

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Real Estate/REITs

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Recordkeeping

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Redemptions

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Securities Lending

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Senior Securities

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Best Execution/Soft Dollars

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

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Solicitation/Referral Arrangements

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Status – Investment Adviser

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Status – Investment Company

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Subadvisers/Multi-Managers

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Subsidiaries

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Trading Issues – Aggregation/Allocation

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Trading Issues – Principal/Agency Cross

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Unit Investment Trusts (UITs)

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Valuation

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Volcker Rule

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Wrap Accounts/Separately Managed Account

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