Topical Reference Guide

This Topical Reference Guide is intended to gather into one webpage various resources in areas that may be of interest to practitioners and others. This Topical Reference Guide is not, however, an exhaustive list of staff guidance or other staff information (collectively, “Staff Statements”), resources, or Commission action pertaining to a particular topic. The Division will continue to update these topics with new and historical materials that also can be accessed below.

Staff Statements represent the views of the Division of Investment Management. A Staff Statement is not a rule, regulation or statement of the Commission, and the Commission has neither approved nor disapproved its content.

A non-exhaustive list of no-action letters and other staff statements that have been modified or withdrawn is available on our Modified or Withdrawn Staff Statements webpage.

A compendium of resources related to the law and interpretations concerning disclosure are also available on our Accounting and Disclosure Information (ADI) webpage.

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Topics: -View All-Accounting and AuditingAdvertising/Performance/Social MediaAdvisory Contract/Fees - Investment AdviserAdvisory Contract/Fees - Investment CompanyAffiliated Transactions/Joint TransactionsAnti-Money LaunderingAsset-Backed Securities IssuersBest Execution/Soft DollarsBusiness Development CompaniesClosed-End FundsCode of EthicsCommoditiesCompliance - Investment CompaniesCredit RatingsCustody - Investment AdviserCustody - Investment CompanyCybersecurityDerivativesDistribution and Servicing ArrangementsEmergenciesEmployee Benefit Plans/ERISAEmployee Securities CompaniesExchange Traded Funds (ETFs)Family OfficesForm 13FForm ADV Part 3Form ADV/Registration and DisclosureForm CRSForm N-14Form N-1A/Registration and DisclosureForm N-2/Registration and DisclosureForm N-3/Registration and DisclosureForm N-4/Registration and DisclosureForm N-6/Registration and DisclosureForm N-CENForm N-CSR/N-QForm N-PORTForm N-PXForm N-SARForm PFFund GovernanceFund MergersFund of FundsIneligible/Disqualified FirmsInsured InvestmentsInternationalInvestment Advisers - GeneralJOBS ActMoney Market FundsMortgages/Real Estate/REITsPay-to-PlayPortfolio Management - Concentration/DiversificationPortfolio Management - Liquidity/Leverage/Names RulePrivacy/Identity TheftPrivate Fund AdvisersProspectus DeliveryProxy Voting/Shareholder MeetingsReal Estate/REITsRecordkeepingRedemptionsSecurities LendingSenior SecuritiesSolicitation/Referral ArrangementsStatus - Investment AdviserStatus - Investment CompanySubadvisers/Multi-ManagersSubsidiariesTrading Issues - Aggregation/AllocationTrading Issues - Principal/Agency CrossUnit Investment Trusts (UITs)ValuationVolcker RuleWrap Accounts/Separately Managed Account

Type: -View All-Staff Guidance / No-Action and Interpretive LettersStaff Guidance / OtherExemptive ApplicationsFormsResourcesRulemakingStaff Guidance / FAQ

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Accounting and Auditing

Title	Type	Withdrawn	Last Updated
Title:Robert Van Grover Esq., Seward & Kissel LLP	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 11, 2019
Title:From the Chief Accountant, Letter to CFOs	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Nov. 22, 2019
Title:Accounting Matters Bibliography	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Nov. 22, 2019
Title:Regulation S-X	Type:Rulemaking	Withdrawn:	Last Updated: Aug. 17, 2018
Title:Investment Company Reporting Modernization Frequently Asked Questions	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: April 27, 2018
Title:Staff Accounting Bulletins	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Dec. 22, 2017
Title:Fidelity Management & Research Company et al. (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Sept. 22, 2017
Title:Fidelity Management & Research Company et al. (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: June 20, 2016
Title:Carey Credit Income Fund et al.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 15, 2015
Title:Guidance Regarding Investment Company Consolidation	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Oct. 31, 2014
Title:Robert Van Grover, Esq., Seward & Kissel LLP	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 5, 2013
Title:Guidance Regarding Business Development Companies - Separate Financial Statements or Summarized Financial Information of Certain Subsidiaries	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Sept. 27, 2013
Title:Copley	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 2, 2013
Title:Copley	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 18, 2013
Title:Form PF	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: April 25, 2013
Title:Copley	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 5, 2013
Title:After-Tax Return	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Feb. 22, 2013
Title:Guidance for Consulting with the Office of the Chief Accountant	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Dec. 18, 2012
Title:Investment Company Institute	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Sept. 5, 2012
Title:Work Plan for Global Accounting Standards	Type:Resources	Withdrawn:	Last Updated: July 13, 2012
Title:Business Development Companies- Auditor Verification of Securities Owned	Type:Staff Guidance / Other	Withdrawn:	Last Updated: March 12, 2012
Title:Auditor Independence	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Dec. 13, 2011
Title:Custody Rule	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Dec. 13, 2011
Title:Technical Amendments to Commission Rules and Forms Related to the FASB's Accounting Standards Codification	Type:Rulemaking	Withdrawn:	Last Updated: Aug. 8, 2011
Title:Seward & Kissel	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 21, 2011
Title:Codification of Staff Accounting Bulletins	Type:Staff Guidance / Other	Withdrawn:	Last Updated: March 14, 2011
Title:American Institute of Certified Public Accountants	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 23, 2010
Title:Seward & Kissell	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 12, 2010
Title:Derivatives-Related Disclosures by Investment Companies	Type:Staff Guidance / Other	Withdrawn:	Last Updated: July 30, 2010
Title:ABA Retirement Funds Program	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 7, 2010
Title:Commission Guidance Regarding Independent Public Accountant Engagements Performed Pursuant to Rule 206(4)-2 Under the Investment Advisers Act of 1940- IA 2969	Type:Rulemaking	Withdrawn:	Last Updated: Dec. 30, 2009
Title:Custody of Funds or Securities of Clients by Investment Advisers- IA-2968	Type:Rulemaking	Withdrawn:	Last Updated: Dec. 30, 2009
Title:Valuation of Portfolio Securities and other Assets Held by Registered Investment Companies - Select Bibliography of the Division of Investment Management	Type:Resources	Withdrawn:	Last Updated: March 20, 2009
Title:Office of the Chief Accountant and FASB Staff Clarifications on Fair Value Accounting	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Sept. 30, 2008
Title:Fidelity Gold Portfolio	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 29, 2008
Title:NGP Capital Resources	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 28, 2007
Title:Implementation of FASB Interpretation No. 48, Letter to Fidelity Investments, Massachusetts Financial Services Company and OppenheimerFunds, Inc.	Type:Staff Guidance / Other	Withdrawn:	Last Updated: June 28, 2007
Title:Disclosure of Fund of Funds Expenses	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: May 23, 2007
Title:Implementation of FASB Interpretation No. 48, Letter to ICI	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Dec. 22, 2006
Title:Deloitte	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 28, 2006
Title:ABA Subcommittee on Private Investment Entities	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 8, 2005
Title:Auditing Standards for Financial Statements of Insurance Company Depositors of Variable Insurance Products, Staff Letters	Type:Staff Guidance / Other	Withdrawn:	Last Updated: March 8, 2005
Title:Strengthening the Commission's Requirements Regarding Auditor Independence	Type:Rulemaking	Withdrawn:	Last Updated: Jan. 28, 2003
Title:Mutual Fund After-Tax Return Requirements	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Jan. 14, 2002
Title:From the Chief Accountant, Letter to CFOs	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Feb. 14, 2001
Title:Revision of the Commission's Auditor Independence Requirements	Type:Rulemaking	Withdrawn:	Last Updated: Nov. 21, 2000
Title:From the Chief Accountant, Letter to CFOs	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Dec. 30, 1999
Title:From the Chief Accountant, Letter to CFOs	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Dec. 30, 1998
Title:From the Chief Accountant, Letter to CFOs	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Nov. 7, 1997
Title:From the Chief Accountant, Letter to CFOs	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Nov. 1, 1996
Title:From the Chief Accountant, Letter to CFOs	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Nov. 2, 1995
Title:From the Chief Accountant, Letter to CFOs	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Feb. 3, 1995
Title:From the Chief Accountant, Letter to CFOs	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Nov. 1, 1994
Title:Accounting Series Release No. 219: Valuation of Debt Instruments by Money Market Funds and Certain Other Open-End Investment Companies	Type:Rulemaking	Withdrawn:	Last Updated: May 31, 1977
Title:Accounting Series Release No. 118: Accounting for Investment Securities by Registered Investment Companies	Type:Rulemaking	Withdrawn:	Last Updated: Dec. 23, 1970
Title:Accounting Series Release No. 113: Statement Regarding "Restricted Securities	Type:Rulemaking	Withdrawn:	Last Updated: Oct. 21, 1969

Advertising/Performance/Social Media

Title	Type	Withdrawn	Last Updated
Title:Investment Adviser Marketing	Type:Staff Guidance / Other	Withdrawn:	Last Updated: May 4, 2021
Title:Marketing Compliance Frequently Asked Questions	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: March 19, 2021
Title:South State Bank	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: May 8, 2018
Title:Redwood Trust, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 16, 2017
Title:Guidance on the Testimonial Rule and Social Media	Type:Staff Guidance / Other	Withdrawn:	Last Updated: March 28, 2014
Title:Guidance on the Testimonial Rule and Social Media	Type:Staff Guidance / Other	Withdrawn:	Last Updated: March 15, 2013
Title:Regulation of Investment Advisers	Type:Resources	Withdrawn:	Last Updated: March 1, 2013
Title:Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles	Type:Rulemaking	Withdrawn:	Last Updated: Aug. 3, 2007
Title:ABA Subcommittee on Private Investment Entities	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 10, 2006
Title:Franklin Management, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 10, 1998
Title:DALBAR, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 24, 1998
Title:GE Funds	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 7, 1997
Title:Clover Capital Management, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 28, 1986

Advisory Contract/Fees - Investment Adviser

Title	Type	Withdrawn	Last Updated
Title:Differential Advisory Fee Waivers	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 2, 2023
Title:Amerivest Investment Management, LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 19, 2014
Title:Regulation of Investment Advisers	Type:Resources	Withdrawn:	Last Updated: March 1, 2013
Title:The Ayco Company L.P.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 14, 1995
Title:George Colman	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 18, 1995
Title:Dean Witter, Discover & Co.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 8, 1993

Advisory Contract/Fees - Investment Company

Title	Type	Withdrawn	Last Updated
Title:Nuveen Fund Advisors, LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 20, 2017
Title:American Century Investment Management, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 20, 2016
Title:RiverNorth	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 28, 2014
Title:RS Global Natural Resources Fund	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 6, 2014
Title:Emerging Global Advisors, LLC and EGA Emerging Global Shares Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 27, 2013
Title:Claymore Advisors, LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 27, 2010
Title:Franklin Templeton Investments	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 19, 2009
Title:Fortis Group, et al.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Jan. 27, 2009
Title:First Trust/Gallatin Specialty Finance and Financial Opportunities Fund	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 11, 2008
Title:Citigroup Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 26, 2006
Title:Eaton Vance Special Investment Trust, et al	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 30, 2004
Title:Gartmore Mutual Funds	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 19, 2004
Title:Constellation Financial Management LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Jan. 9, 2003
Title:The Chase Manhattan Bank	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 24, 2001
Title:Daughters of Charity National Health System, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 3, 1998
Title:Franklin Templeton Group of Funds	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 23, 1997
Title:Century Shares Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: May 4, 1994
Title:Dean Witter, Discover & Co.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 8, 1993

Affiliated Transactions/Joint Transactions

Title	Type	Withdrawn	Last Updated
Title:Valuation Frequently Asked Questions	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: March 18, 2021
Title:Staff Statement on Investment Company Cross Trading	Type:Staff Guidance / Other	Withdrawn:	Last Updated: March 11, 2021
Title:Investment Company Institute and SIFMA AMG	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: May 27, 2020
Title:Investment Company Institute	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 26, 2020
Title:Affiliated Sales & Purchases - Adviser	Type:Exemptive Applications	Withdrawn:	Last Updated:
Title:Affiliated Sales & Purchases - In-Kind	Type:Exemptive Applications	Withdrawn:	Last Updated:
Title:Affiliated Sales & Purchases - Other	Type:Exemptive Applications	Withdrawn:	Last Updated:
Title:Joint Transaction	Type:Exemptive Applications	Withdrawn:	Last Updated:
Title:Mutual of America Capital Management LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 26, 2017
Title:Russell Investment Management, LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 16, 2016
Title:Guidance Regarding Acceptance of Gifts or Entertainment by Fund Advisory Personnel	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Feb. 23, 2015
Title:Guidance Regarding Business Development Companies-Transactions with Certain Second-Tier Affiliates	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Dec. 5, 2014
Title:Series Investment Companies:Â Affiliated Transactions	Type:Staff Guidance / Other	Withdrawn:	Last Updated: June 6, 2014
Title:Fifth Street Finance Corp.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 25, 2010
Title:Allianz Funds	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 3, 2009
Title:Columbia Funds Series Trust - Columbia Cash Reserves	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 2, 2009
Title:Columbia Funds Series Trust - Columbia Money Market Reserves	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 2, 2009
Title:Columbia Funds, et al.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 23, 2008
Title:Columbia Funds Series Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 22, 2008
Title:Advantus Series Fund	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 20, 2008
Title:Dreyfus Cash Management Plus	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 20, 2008
Title:Dreyfus Money Funds	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 20, 2008
Title:Dreyfus Cash Management, et al.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Sept. 25, 2008
Title:Goldman Sachs Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 19, 2008
Title:Allianz Dresdner Daily Asset Fund	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: May 5, 2008
Title:First American Funds, Inc. - Prime Obligation Fund	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 3, 2007
Title:Gartmore Variable Insurance Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 29, 2006
Title:GuideStone Financial, et al.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 27, 2006
Title:Federated Municipal Funds	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 20, 2006
Title:Citigroup Global Markets, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Sept. 26, 2006
Title:Citigroup Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 26, 2006
Title:GE Institutional Funds	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 21, 2005
Title:Evergreen Investment Management Company LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 11, 2005
Title:GE Life and Annuity Assurance Company	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 25, 2004
Title:AAL Mutual Funds, et al. (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Dec. 12, 2002
Title:Evergreen Investment Management Company, LLC (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Feb. 13, 2002
Title:AIM Advisors, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 12, 2002
Title:Government Securities Clearing Corporation	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 19, 2001
Title:Calvert Social Index Fund	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Sept. 24, 2001
Title:The Chase Manhattan Bank	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 24, 2001
Title:Massachusetts Mutual Life	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 28, 2000
Title:Massachusetts Mutual Life	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 7, 2000
Title:Drinker, Biddle & Reath	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 18, 1998
Title:The Eaton Vance Group of Investment Companies	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 25, 1997
Title:Alliance Funds	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 25, 1997
Title:Dean Witter World Wide Investment Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Sept. 17, 1996
Title:Dreyfus Asset Allocation Fund, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 14, 1996
Title:Financial Services Board	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 24, 1996
Title:DFA Investment Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 21, 1996
Title:DFA Investment Trust Company	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 17, 1995
Title:ACM Institutional Reserves, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 14, 1995
Title:Alliance Municipal Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 14, 1995
Title:California Municipal Cash Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 11, 1995
Title:Chief Financial Officer	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 1, 1994
Title:Federated Investors	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 21, 1994
Title:The Capitol Mutual Funds and Nations Fund Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 24, 1994
Title:Defined Asset Funds - Equity Income Fund - Select Ten Series	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: May 5, 1993
Title:United Municipal No Action Letter	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 30, 1992

Anti-Money Laundering

Title	Type	Withdrawn	Last Updated
Title:Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association	Type:Resources	Withdrawn:	Last Updated: Jan. 11, 2011
Title:FINCEN Final Rule: Amendment to the Bank Secrecy Act Regulations; Defining Mutual Funds as Financial Institutions	Type:Resources	Withdrawn:	Last Updated: April 14, 2010
Title:Joint Release; Guidance on Obtaining and Retaining Beneficial Ownership Information	Type:Resources	Withdrawn:	Last Updated: March 5, 2010
Title:Anti-Money Laundering (AML) Source Tool for Broker-Dealers	Type:Resources	Withdrawn:	Last Updated: Jan. 14, 2010
Title:Anti-Money Laundering (AML) Source Tool for Mutual Funds	Type:Resources	Withdrawn:	Last Updated: Jan. 14, 2010
Title:Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association	Type:Resources	Withdrawn:	Last Updated: Jan. 11, 2010
Title:Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association, extending February 12, 2004 letter	Type:Resources	Withdrawn:	Last Updated: Jan. 10, 2008
Title:Financial Crimes Enforcement Network; Requests by Law Enforcement for Financial Institutions to Maintain Accounts, U.S. Treasury guidance	Type:Resources	Withdrawn:	Last Updated: June 13, 2007
Title:Financial Crimes Enforcement Network; Suspicious Activity Report Supporting Documentation	Type:Resources	Withdrawn:	Last Updated: June 13, 2007
Title:FinCEN Delays Implementation of Revised Suspicious Activity Report (SAR) Forms	Type:Resources	Withdrawn:	Last Updated: April 26, 2007
Title:Frequently Asked Questions; Suspicious Activity Reporting Requirements for Mutual Funds	Type:Resources	Withdrawn:	Last Updated: Oct. 4, 2006
Title:Trading and Markets No-Action Letter: Securities Industry Association, extending further February 12, 2004 letter	Type:Resources	Withdrawn:	Last Updated: July 11, 2006
Title:Application of the Regulations regarding Special Due Diligence Programs for Certain Foreign Accounts to NSCC Fund/SERV Accounts	Type:Resources	Withdrawn:	Last Updated: May 3, 2006
Title:Financial Crimes Enforcement Network; Amendment to the Bank Secrecy Act Regulations - Requirement That Mutual Funds Report Suspicious Transactions	Type:Resources	Withdrawn:	Last Updated: April 27, 2006
Title:Question and Answer Regarding Broker-Dealer Customer Identification Rule (31 CFR 103.122) Responsibilities under the Agency Lending Disclosure Initiative	Type:Resources	Withdrawn:	Last Updated: April 26, 2006
Title:Trading and Markets No-Action Letter: Securities Industry Association, extending February 12, 2004 letter	Type:Resources	Withdrawn:	Last Updated: Feb. 10, 2005
Title:Trading and Markets No-Action Letter: Securities Industry Association	Type:Resources	Withdrawn:	Last Updated: Feb. 12, 2004
Title:Question and Answer Regarding the Broker-Dealer Customer Identification Program Rule	Type:Resources	Withdrawn:	Last Updated: Oct. 1, 2003
Title:Questions and Answers Regarding the Mutual Fund Customer Identification Program Rule	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Aug. 11, 2003
Title:Questions and Answers Regarding the Mutual Fund Customer Identification Program Rule	Type:Resources	Withdrawn:	Last Updated: Aug. 11, 2003
Title:Customer Identification Programs for Mutual Funds	Type:Resources	Withdrawn:	Last Updated: April 29, 2003
Title:Report to Congress under the USA PATRIOT Act containing recommendations for applying anti-money laundering controls to investment companies	Type:Resources	Withdrawn:	Last Updated: Dec. 31, 2002
Title:SEC-SIA Anti-Money Laundering Webcast Scheduled for Monday, November 25, 2002	Type:Resources	Withdrawn:	Last Updated: Oct. 18, 2002
Title:Proposed Amendment to the Bank Secrecy Act Rules — Requirement That Insurance Companies Report Suspicious Transactions	Type:Resources	Withdrawn:	Last Updated: Oct. 17, 2002
Title:Proposed Amendment to the Bank Secrecy Act Rules — Anti-Money Laundering Programs for Unregistered Investment Companies	Type:Resources	Withdrawn:	Last Updated: Sept. 26, 2002
Title:Proposed Amendment to the Bank Secrecy Act Rules — Customer Identification Programs for Broker-Dealers	Type:Resources	Withdrawn:	Last Updated: July 23, 2002
Title:Proposed Amendment to the Bank Secrecy Act Rules — Customer Identification Programs for Mutual Funds	Type:Resources	Withdrawn:	Last Updated: July 23, 2002
Title:Amendment to the Bank Secrecy Act Rules — Requirement that Brokers or Dealers in Securities Report Suspicious Transactions	Type:Resources	Withdrawn:	Last Updated: July 1, 2002
Title:Proposed Rule — Due Diligence Anti-Money Laundering Programs for Certain Foreign Accounts Implementing Section 312 of the USA PATRIOT ACT	Type:Resources	Withdrawn:	Last Updated: May 30, 2002
Title:Anti-Money Laundering Programs for Mutual Funds	Type:Resources	Withdrawn:	Last Updated: April 24, 2002
Title:Order Approving Proposed Rule Changes Relating to Anti-Money Laundering Compliance Programs	Type:Resources	Withdrawn:	Last Updated: April 22, 2002
Title:Proposed Amendment to the Bank Secrecy Act — Requirement of Brokers or Dealers in Securities to Report Suspicious Transactions	Type:Resources	Withdrawn:	Last Updated: Dec. 21, 2001

Asset-Backed Securities Issuers

Title	Type	Withdrawn	Last Updated
Title:Investment Company Institute and SIFMA AMG	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: May 27, 2020
Title:Treatment of Asset-Backed Issuers under the Investment Company Act	Type:Rulemaking	Withdrawn:	Last Updated: Aug. 31, 2011
Title:Franklin Templeton Investments	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 19, 2009
Title:Citibank, N.A.	Type:Exemptive Applications	Withdrawn:	Last Updated: April 20, 2009
Title:Deutsche Bank Trust Company Americas	Type:Exemptive Applications	Withdrawn:	Last Updated: Dec. 28, 2006
Title:Credit Suisse First Boston	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Sept. 9, 1998
Title:Nebraska Higher Education Loan Program Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 4, 1998
Title:Federated Investors	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 8, 1997
Title:ESI S.A.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 2, 1995
Title:Global Exempt Certificates of Ownership in NHA MBS Securities Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 30, 1994
Title:Donaldson, Lufkin & Jenrette Securities Corporation	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: May 26, 1994
Title:Brown & Wood	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 24, 1994
Title:Exclusion From the Definition of Investment Company for Certain Structured Financings	Type:Rulemaking	Withdrawn:	Last Updated: Nov. 19, 1992
Title:Exclusion From the Definition of Investment Company for Certain Structured Financings	Type:Rulemaking	Withdrawn:	Last Updated: May 29, 1992
Title:Protecting Investors: A Half Century of Investment Company Regulation	Type:Resources	Withdrawn:	Last Updated: May 1, 1992

Business Development Companies

Title	Type	Withdrawn	Last Updated
Title:Staff Responses to Inquiries Regarding Business Development Companies and Section 61(a) of the Investment Company Act of 1940	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Oct. 17, 2019
Title:Business Development Companies - Capital Structure	Type:Exemptive Applications	Withdrawn:	Last Updated:
Title:Business Development Companies - Compensation	Type:Exemptive Applications	Withdrawn:	Last Updated:
Title:Co-Investment	Type:Exemptive Applications	Withdrawn:	Last Updated:
Title:New Mountain Finance Corporation	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 18, 2014
Title:Guidance Regarding Business Development Companies-Transactions with Certain Second-Tier Affiliates	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Dec. 5, 2014
Title:Business Development Companies with Wholly-Owned SBIC Subsidiaries-Asset Coverage Requirements	Type:Staff Guidance / Other	Withdrawn:	Last Updated: June 27, 2014
Title:Main Street Capital Corporation	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 7, 2013
Title:New Mountain Finance Corporation	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 4, 2013
Title:MCG Capital Corporation	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Sept. 27, 2013
Title:Joint Transactions — Portfolio Holdings of Companies Electing Status as Business Development Companies (BDCs)	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Nov. 27, 2012
Title:Business Development Company Report Dataset	Type:Resources	Withdrawn:	Last Updated: Oct. 23, 2012
Title:Business Development Companies — Auditor Verification of Securities Owned	Type:Staff Guidance / Other	Withdrawn:	Last Updated: March 12, 2012
Title:Definition of Eligible Portfolio Company under the Investment Company Act of 1940	Type:Rulemaking	Withdrawn:	Last Updated: Oct. 25, 2006

Closed-End Funds

Title	Type	Withdrawn	Last Updated
Title:BlackRock Science and Technology Trust and BlackRock Utilities, Infrastructure & Power Opportunities Trust, March 3, 2020 (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: March 3, 2020
Title:Eaton Vance Tax-Advantaged Dividend Income Fund, et al., December 16, 2019 (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Dec. 16, 2019
Title:Gladstone Investment Corporation	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 5, 2019
Title:Co-Investment	Type:Exemptive Applications	Withdrawn:	Last Updated:
Title:Eagle Point Credit Company Inc. (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Feb. 14, 2018
Title:PIMCO Dynamic Income Fund (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Dec. 12, 2017
Title:Nuveen California Select Tax-Free Income Portfolio (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Nov. 21, 2017
Title:Nuveen Municipal Income Fund, Inc. et al. (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: July 27, 2017
Title:Ironwood Multi-Strategy Fund LLC and Ironwood Institutional Multi-Strategy Fund LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 19, 2017
Title:Guggenheim Credit Allocation Fund (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: April 5, 2017
Title:Invesco Senior Income Trust, et al. (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Jan. 25, 2017
Title:The Herzfeld Caribbean Basin Fund, Inc. (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Sept. 21, 2016
Title:BlackRock Health Sciences Trust (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Feb. 25, 2016
Title:Fiduciary/Claymore MLP Opportunity Fund (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Jan. 7, 2016
Title:Nuveen Credit Strategies Income Fund, et al. (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Nov. 7, 2014
Title:Guggenheim Strategic Opportunities Fund (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Oct. 2, 2014
Title:The Gabelli Convertible & Income Securities Fund, Inc., et al. (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: April 18, 2014
Title:The Mexico Fund, Inc. (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Dec. 31, 2013
Title:Aberdeen Asia-Pacific Income Fund, Inc. (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: June 26, 2013
Title:Credit Suisse High Yield Bond Fund and Credit Suisse Asset Management Income Fund, Inc. (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: June 26, 2013
Title:Eaton Vance, et al. (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: June 26, 2013
Title:First Trust, et al. (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: June 26, 2013
Title:John Hancock Investors Trust and John Hancock Tax-Advantaged Global Shareholder Yield Fund (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: June 26, 2013
Title:NexPoint Credit Strategies Fund (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: June 26, 2013
Title:Nuveen, et al (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: June 26, 2013
Title:Closed-End Fund Information Dataset	Type:Resources	Withdrawn:	Last Updated: Oct. 23, 2012
Title:Aberdeen Australia Equity Fund, Inc., Aberdeen Chile Fund, Inc. and Aberdeen Global Income Fund, Inc. (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: April 12, 2012
Title:FQF Trust, et al. (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Dec. 13, 2011
Title:Franklin Templeton Investments	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 19, 2009
Title:Aberdeen Australia Equity Fund, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 13, 2006
Title:College and University Facility Loan Trust One, et al.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 29, 2004
Title:France Growth Fund, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 15, 2003
Title:Frank Russell Investment Company, et al. (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Oct. 18, 2002
Title:Dessauer Global Equity Fund	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 3, 1997

Code of Ethics

Title	Type	Withdrawn	Last Updated
Title:Code of Ethics Guidance for Investment Advisers	Type:Staff Guidance / Other	Withdrawn:	Last Updated: June 26, 2015
Title:Regulation of Investment Advisers	Type:Resources	Withdrawn:	Last Updated: March 1, 2013
Title:Investment Adviser Codes of Ethics	Type:Rulemaking	Withdrawn:	Last Updated: July 2, 2004

Commodities

Title	Type	Withdrawn	Last Updated
Title:Money Market Fund Reform	Type:Rulemaking	Withdrawn:	Last Updated: Feb. 23, 2010
Title:Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities	Type:Rulemaking	Withdrawn:	Last Updated: July 5, 2001

Compliance - Investment Companies

Title	Type	Withdrawn	Last Updated
Title:Nuveen Fund Advisors, LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 20, 2017
Title:Business Continuity Planning for Registered Investment Companies	Type:Staff Guidance / Other	Withdrawn:	Last Updated: June 28, 2016
Title:Cybersecurity Guidance	Type:Staff Guidance / Other	Withdrawn:	Last Updated: April 28, 2015
Title:Series Investment Companies:Â Affiliated Transactions	Type:Staff Guidance / Other	Withdrawn:	Last Updated: June 6, 2014
Title:Shareholder Notices of the Sources of Fund Distributions - Electronic Delivery	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Nov. 7, 2013
Title:Compliance With Exemptive Orders	Type:Staff Guidance / Other	Withdrawn:	Last Updated: May 10, 2013
Title:Affiliated Funds of Funds — Section 12(d)(1) of the Investment Company Act	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Oct. 19, 2012
Title:Advisory Contracts — Combined Investment Advisory and Service Fees	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Oct. 5, 2012
Title:Investment Company Series and Class Information Dataset	Type:Resources	Withdrawn:	Last Updated: July 20, 2012
Title:Funds Using Tender Option Bond (TOB) Financings	Type:Staff Guidance / Other	Withdrawn:	Last Updated: March 29, 2012
Title:Rule 18f-3 under the Investment Company Act — Removal of a Class	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Sept. 2, 2010
Title:Derivatives-Related Disclosures by Investment Companies, Letter to ICI	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: July 30, 2010
Title:Claymore Advisors, LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 27, 2010
Title:Proxy Disclosure Enhancements Transition for Registered Investment Companies	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Dec. 23, 2009
Title:Registered Investment Company Use of Senior Securities — Select Bibliography	Type:Resources	Withdrawn:	Last Updated: Sept. 24, 2008
Title:Cabot Wellington, LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 17, 2008
Title:Funds Use of Rule 22c-2 Information for Marketing Purposes, Letter to ICI	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Aug. 21, 2007
Title:Cooley Godward & Kronish	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 12, 2007
Title:Staff Responses to Questions Regarding Disclosure of Fund of Funds Expenses	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: May 23, 2007
Title:College and University Facility Loan Trust One, et al.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 29, 2004
Title:Cantor Fitzgerald & Company	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 17, 2004
Title:Compliance Programs of Investment Companies and Investment Advisers	Type:Rulemaking	Withdrawn:	Last Updated: Dec. 17, 2003
Title:Disclosure by Funds Investing in Government Sponsored Enterprises, Letter to ICI	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Oct. 17, 2003
Title:Questions and Answers Regarding the Mutual Fund Customer Identification Program Rule	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Aug. 11, 2003
Title:Delayed Exchange of Fund Shares, Letter to ICI	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Nov. 13, 2002
Title:Frequently Asked Questions About Mutual Fund After-Tax Return Requirements	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Jan. 14, 2002
Title:Frequently Asked Questions about Rule 35d-1 (Investment Company Names)	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Dec. 4, 2001
Title:Calvert Social Index Fund	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Sept. 24, 2001
Title:2001 Mutual Fund Fee Report	Type:Resources	Withdrawn:	Last Updated: Jan. 10, 2001
Title:2001 Mutual Fund Fee Report	Type:Resources	Withdrawn:	Last Updated: Jan. 10, 2001
Title:Role of Independent Investment Company Directors	Type:Resources	Withdrawn:	Last Updated: Feb. 24, 1999
Title:Form N-1A and Rule 498, Letter to the ICI	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Oct. 2, 1998
Title:Form N-1A and Rule 498, Letter to ICI	Type:Staff Guidance / Other	Withdrawn:	Last Updated: May 19, 1998
Title:GE Funds	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 7, 1997
Title:Cornish & Carey Commercial Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 26, 1996
Title:Caxton Corporation	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 28, 1994
Title:Protecting Investors: A Half Century of Investment Company Regulation	Type:Resources	Withdrawn:	Last Updated: May 1, 1992

Credit Ratings

Title	Type	Withdrawn	Last Updated
Title:Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule	Type:Rulemaking	Withdrawn:	Last Updated: July 23, 2014
Title:References to Ratings of Nationally Recognized Statistical Rating Organizations	Type:Rulemaking	Withdrawn:	Last Updated: Oct. 5, 2009

Custody - Investment Adviser

Title	Type	Withdrawn	Last Updated
Title:Staff Statement on WY Division of Banking’s “NAL on Custody of Digital Assets and Qualified Custodian Status”	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Nov. 9, 2020
Title:Robert Van Grover Esq., Seward & Kissel LLP	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 11, 2019
Title:Engaging on Non-DVP Custodial Practices and Digital Assets	Type:Staff Guidance / Other	Withdrawn:	Last Updated: March 12, 2019
Title:Inadvertent Custody: Advisory Contract Versus Custodial Contract Authority	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Feb. 21, 2017
Title:Investment Adviser Association	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 21, 2017
Title:Robert Van Grover, Esq., Seward & Kissel LLP	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 4, 2016
Title:Investment Adviser Association	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 25, 2016
Title:16th Amendment Advisors LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 23, 2015
Title:Private Funds and the Application of the Custody Rule to Special Purpose Vehicles and Escrows	Type:Staff Guidance / Other	Withdrawn:	Last Updated: June 26, 2014
Title:Robert Van Grover, Esq., Seward & Kissel LLP	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 5, 2013
Title:Privately Offered Securities under the Investment Advisers Act Custody Rule	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Aug. 1, 2013
Title:Regulation of Investment Advisers	Type:Resources	Withdrawn:	Last Updated: March 1, 2013
Title:Staff Responses to Questions About the Custody Rule	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Dec. 13, 2011
Title:Custody of Funds or Securities of Clients by Investment Advisers	Type:Rulemaking	Withdrawn:	Last Updated: Dec. 30, 2009
Title:Deloitte & Touche LLP	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 28, 2006
Title:ABA Subcommittee on Private Investment Entities	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 10, 2006

Custody - Investment Company

Title	Type	Withdrawn	Last Updated
Title:K&L Gates LLP	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Jan. 15, 2021
Title:Chicago Mercantile Exchange	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 19, 2017
Title:ICE Clear Credit LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 19, 2017
Title:LCH Limited and LCH.Clearnet LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 19, 2017
Title:Depository Trust Company of Delaware, LLC dba Delaware Depository	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Sept. 12, 2016
Title:Chicago Mercantile Exchange	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 29, 2015
Title:ICE Clear Credit LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 29, 2015
Title:LCH.Clearnet Limited and LCH.Clearnet LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 29, 2015
Title:Chicago Mercantile Exchange	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 19, 2014
Title:ICE Clear Credit LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 19, 2014
Title:LCH.Clearnet Limited and LCH.Clearnet LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 19, 2014
Title:The Brink's Company	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 11, 2014
Title:Chicago Mercantile Exchange	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 26, 2013
Title:ICE Clear Credit LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 26, 2013
Title:LCH.Clearnet Limited and LCH.Clearnet LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 26, 2013
Title:Chicago Mercantile Exchange	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Sept. 27, 2012
Title:Chicago Mercantile Exchange	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Sept. 27, 2012
Title:Staff Responses to Questions About the Custody Rule	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Dec. 13, 2011
Title:Chicago Mercantile Exchange	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 29, 2011
Title:Chicago Mercantile Exchange	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 29, 2011
Title:Chicago Mercantile Exchange	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 24, 2011
Title:CME Group, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 3, 2010
Title:CME Group, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 16, 2010
Title:Franklin Templeton Investments	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 19, 2009
Title:Franklin Templeton Investments	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 21, 2008
Title:Fixed Income Clearing Corporation	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 13, 2003
Title:Custody of Investment Company Assets Outside the United States	Type:Rulemaking	Withdrawn:	Last Updated: April 27, 2000
Title:Chase Manhattan Bank	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 12, 1998
Title:Depository Clearing Company	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 19, 1997
Title:Bucharest Stock Exchange	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 3, 1997
Title:Eaton Vance South Asia Portfolio	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 12, 1997
Title:Financial Services Board	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 24, 1996
Title:The Canadian Depository for Securities Limited	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 4, 1994
Title:David S. Butterworth	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Jan. 27, 1994
Title:Custody of B Shares Trading on the Shenzhen and Shanghai Securities Exchanges	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 26, 1993

Cybersecurity

Title	Type	Withdrawn	Last Updated
Title:Cybersecurity Guidance	Type:Staff Guidance / Other	Withdrawn:	Last Updated: April 28, 2015
Title:Cybersecurity Roundtable	Type:Resources	Withdrawn:	Last Updated: March 26, 2014

Derivatives

Title	Type	Withdrawn	Last Updated
Title:Derivatives-Related Disclosures by Investment Companies, Letter to ICI	Type:Staff Guidance / Other	Withdrawn:	Last Updated: July 30, 2010

Distribution and Servicing Arrangements

Title	Type	Withdrawn	Last Updated
Title:Frequently Asked Questions on IM Guidance Update 2016-06 (Mutual Fund Fee Structures)	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Feb. 15, 2017
Title:Capital Group	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Jan. 11, 2017
Title:Mutual Fund Distribution and Sub-Accounting Fees	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Jan. 6, 2016
Title:Rule 12b-1 Roundtable	Type:Resources	Withdrawn:	Last Updated: June 19, 2007
Title:Linsco/Private Ledger Corp.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 1, 1994
Title:Charles Schwab & Co.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: May 28, 1992
Title:Investment Management Division Report - Mutual Fund Distribution and Section 22(d) of the Investment Company Act (August 1974)	Type:Resources	Withdrawn:	Last Updated: Nov. 4, 1974

Emergencies

Title	Type	Withdrawn	Last Updated
Title:Division of Investment Management Coronavirus (COVID-19) Response FAQs	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: April 14, 2020
Title:Apply for GETS Cards	Type:Resources	Withdrawn:	Last Updated:
Title:Alliance Funds	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 25, 1997

Employee Benefit Plans/ERISA

Title	Type	Withdrawn	Last Updated
Title:Investment Company Institute, et al.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 16, 2015
Title:American Retirement Association	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 18, 2015
Title:Invesco Advisers, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 8, 2014
Title:ABA Retirement Funds	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 25, 2013
Title:Department of Labor	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 26, 2011
Title:General Motors Investment Management	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 20, 2000
Title:Department of Labor	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 5, 1995
Title:Edward H. Fleischman	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 30, 1994
Title:County of Los Angeles	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Jan. 27, 1993

Employee Securities Companies

Title	Type	Withdrawn	Last Updated
Title:Exemptive Applications	Type:Exemptive Applications	Withdrawn:	Last Updated:
Title:Employees' Securities Companies and Escheatment	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Oct. 27, 2015
Title:Tudor Employee Investment Fund LLC and Tudor Investment Corporation	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 28, 2015
Title:BSC Employee Fund, L.P.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 14, 1997

Exchange Traded Funds (ETFs)

Title	Type	Withdrawn	Last Updated
Title:Exchange Traded Funds - Active	Type:Exemptive Applications	Withdrawn:	Last Updated:
Title:Exchange Traded Funds - Index	Type:Exemptive Applications	Withdrawn:	Last Updated:
Title:Exchange Traded Funds - Leveraged	Type:Exemptive Applications	Withdrawn:	Last Updated:
Title:Investment Company Liquidity Risk Management Programs Frequently Asked Questions	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Jan. 10, 2018
Title:SPDR S&P Dividend ETF	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 28, 2016
Title:SPDR Series Trust, et al.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 24, 2015
Title:Merger of Two Exchange-Traded Funds	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Sept. 25, 2013
Title:Derivatives Use by Actively-Managed ETFs	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 6, 2012

Family Offices

Title	Type	Withdrawn	Last Updated
Title:Guidance Regarding Key Employee Trusts Under the Family Office Rule	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Dec. 22, 2014
Title:Staff Responses to Questions About the Family Office Rule	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: April 27, 2012
Title:Peter Adamson III	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 3, 2012
Title:Family Offices	Type:Rulemaking	Withdrawn:	Last Updated: June 22, 2011

Form 13F

Title	Type	Withdrawn	Last Updated
Title:Official List of Section 13(f) Securities	Type:Staff Guidance / Other	Withdrawn:	Last Updated:
Title:Information required of institutional investment managers pursuant to Section 13(f)	Type:Forms	Withdrawn:	Last Updated:
Title:Frequently Asked Questions About Form 13F	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: March 15, 2017
Title:Guidance Update: Form 13F Confidential Treatment Requests Based on a Claim of Ongoing Acquisition/Disposition Program	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Oct. 1, 2013
Title:Regulation of Investment Advisers	Type:Resources	Withdrawn:	Last Updated: March 1, 2013
Title:Rulemaking for EDGAR System	Type:Rulemaking	Withdrawn:	Last Updated: Jan. 12, 1999
Title:Section 13(f) Confidential Treatment Requests	Type:Staff Guidance / Other	Withdrawn:	Last Updated: June 17, 1998
Title:Rulemaking for EDGAR System	Type:Rulemaking	Withdrawn:	Last Updated: July 1, 1997
Title:Request for Confidential Treatment Filed by Institutional Investment Managers	Type:Rulemaking	Withdrawn:	Last Updated: May 14, 1985
Title:Request for Confidential Treatment Filed by Institutional Investment Managers	Type:Rulemaking	Withdrawn:	Last Updated: Dec. 5, 1984
Title:Request for Confidential Treatment Filed by Institutional Investment Managers	Type:Rulemaking	Withdrawn:	Last Updated: June 28, 1979
Title:Filing and Reporting Requirements Relating to Institutional Investment Managers	Type:Rulemaking	Withdrawn:	Last Updated: Jan. 5, 1979
Title:Division of Investment Management's Interpretative Positions Relating to Rule 13f-1 and Related Form 13F	Type:Rulemaking	Withdrawn:	Last Updated: Nov. 2, 1978
Title:Filing and Reporting Requirements Relating to Institutional lnvestment Managers	Type:Rulemaking	Withdrawn:	Last Updated: June 15, 1978
Title:Reporting by Institutional Investment Managers of Information with Respect to Accounts over Which Investment Discretion Is Exercised	Type:Rulemaking	Withdrawn:	Last Updated: March 22, 1977

Form ADV/Registration and Disclosure

Title	Type	Withdrawn	Last Updated
Title:Frequently Asked Questions on Form CRS	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Feb. 11, 2020
Title:Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Oct. 18, 2019
Title:IARD Entitlement Forms	Type:Rulemaking	Withdrawn:	Last Updated:
Title:Small Entity Compliance Guide	Type:Staff Guidance / Other	Withdrawn:	Last Updated:
Title:Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers	Type:Forms	Withdrawn:	Last Updated:
Title:Frequently Asked Questions on Form ADV and IARD	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Sept. 29, 2017
Title:(Staff Guidance Concerning Investment Adviser Reliance on Predecessor Registrations)	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Nov. 18, 2016
Title:Form ADV and Investment Advisers Act Rules	Type:Rulemaking	Withdrawn:	Last Updated: Aug. 25, 2016
Title:Goldman, Sachs & Co.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 20, 2013
Title:Regulation of Investment Advisers	Type:Resources	Withdrawn:	Last Updated: March 1, 2013
Title:Rules Implementing Amendments to the Investment Advisers Act of 1940	Type:Rulemaking	Withdrawn:	Last Updated: June 22, 2011
Title:Rules Under the Investment Advisers Act of 1940	Type:Resources	Withdrawn:	Last Updated: June 22, 2011
Title:Amendments to Form ADV (Extension of Compliance Date)	Type:Rulemaking	Withdrawn:	Last Updated: Dec. 28, 2010
Title:Amendments to Form ADV	Type:Rulemaking	Withdrawn:	Last Updated: July 28, 2010
Title:Technical Amendments to Form ADV	Type:Rulemaking	Withdrawn:	Last Updated: Jan. 17, 2008
Title:Technical Amendments to Form ADV, Form ADV-W, Form ADV-H, Form ADV-E	Type:Rulemaking	Withdrawn:	Last Updated: March 30, 2006
Title:Exemption for Certain Investment Advisers Operating Through the Internet	Type:Rulemaking	Withdrawn:	Last Updated: Dec. 12, 2002
Title:Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments	Type:Rulemaking	Withdrawn:	Last Updated: Dec. 21, 2000
Title:Electronic Filing by Investment Advisers (Amendments to Form ADV)	Type:Rulemaking	Withdrawn:	Last Updated: Sept. 12, 2000
Title:Amendments to Form ADV	Type:Rulemaking	Withdrawn:	Last Updated: April 5, 2000

Form N-1A/Registration and Disclosure

Title	Type	Withdrawn	Last Updated
Title:Staff Statement on Funds Registered Under the Investment Company Act Investing in the Bitcoin Futures Market	Type:Staff Guidance / Other	Withdrawn:	Last Updated: May 11, 2021
Title:Registration form for open-end management investment companies	Type:Forms	Withdrawn:	Last Updated:
Title:Frequently Asked Questions on IM Guidance Update 2016-06 (Mutual Fund Fee Structures)	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Feb. 15, 2017
Title:Mutual Fund Fee Structures	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Dec. 15, 2016
Title:Fund Disclosure Reflecting Risks Related to Current Market Conditions	Type:Staff Guidance / Other	Withdrawn:	Last Updated: March 9, 2016
Title:Guidance Regarding Mutual Fund Enhanced Disclosure	Type:Staff Guidance / Other	Withdrawn:	Last Updated: June 26, 2014
Title:Fund Names Suggesting Protection From Loss	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Nov. 13, 2013
Title:Interactive Data for Mutual Fund Risk/Return Summary (Correction)	Type:Rulemaking	Withdrawn:	Last Updated: May 1, 2009
Title:Interactive Data for Mutual Fund Risk/Return Summary	Type:Rulemaking	Withdrawn:	Last Updated: Feb. 11, 2009
Title:Enhanced Disclosure and New Prospectus Delivery Option For Registered Open-End Management Investment Companies	Type:Rulemaking	Withdrawn:	Last Updated: Jan. 13, 2009
Title:Extension of Interactive Data Voluntary Reporting Program on the Edgar System to Include Mutual Fund Risk/Return Summary Information	Type:Rulemaking	Withdrawn:	Last Updated: July 11, 2007
Title:Disclosure of Breakpoint Discounts by Mutual Funds	Type:Rulemaking	Withdrawn:	Last Updated: June 7, 2004
Title:New Disclosure Option for Open-End Management Investment Companies	Type:Rulemaking	Withdrawn:	Last Updated: March 13, 1998
Title:Registration Form Used by Open-End Management Investment Companies (Form)	Type:Rulemaking	Withdrawn:	Last Updated: March 13, 1998
Title:Registration Form Used by Open-End Management Investment Companies (Rule)	Type:Rulemaking	Withdrawn:	Last Updated: March 13, 1998
Title:Plain English Disclosure	Type:Rulemaking	Withdrawn:	Last Updated: Jan. 28, 1998
Title:Eaton Vance Master Portfolio	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 11, 1996
Title:Frank Russell Investment Management Company	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 30, 1993

Form N-2/Registration and Disclosure

Title	Type	Withdrawn	Last Updated
Title:Registration statement for closed-end management investment companies	Type:Forms	Withdrawn:	Last Updated:
Title:The Mexico Fund, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 31, 2013
Title:Fund Names Suggesting Protection From Loss	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Nov. 13, 2013
Title:Aberdeen Asia-Pacific Income Fund, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 26, 2013
Title:Credit Suisse High Yield Bond Fund and Credit Suisse Asset Management Income Fund, Inc. (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: June 26, 2013
Title:Eaton Vance, et al.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 26, 2013
Title:First Trust, et al.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 26, 2013
Title:John Hancock Investors Trust and John Hancock Tax-Advantaged Global Shareholder Yield Fund (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: June 26, 2013
Title:NexPoint Credit Strategies Fund (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: June 26, 2013
Title:Nuveen, et al (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: June 26, 2013
Title:Energy Income and Growth Fund and First Trust Active Dividend Income Fund	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 27, 2010

Form N-3/Registration and Disclosure

Title	Type	Withdrawn	Last Updated
Title:Registration statement of separate accounts organized as management investment companies	Type:Forms	Withdrawn:	Last Updated:

Form N-4/Registration and Disclosure

Title	Type	Withdrawn	Last Updated
Title:Registration statement of separate accounts organized as unit investment trusts	Type:Forms	Withdrawn:	Last Updated:
Title:Frequently Asked Questions on IM Guidance Update 2016-06 (Mutual Fund Fee Structures)	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Feb. 15, 2017
Title:Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Annuity Contracts	Type:Rulemaking	Withdrawn:	Last Updated: Nov. 13, 2002

Form N-6/Registration and Disclosure

Title	Type	Withdrawn	Last Updated
Title:Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies	Type:Forms	Withdrawn:	Last Updated:
Title:Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Annuity Contracts	Type:Rulemaking	Withdrawn:	Last Updated: Nov. 13, 2002

Form N-14

Title	Type	Withdrawn	Last Updated
Title:Form for the registration of securities issued in business combination transactions by investment companies and business development companies	Type:Forms	Withdrawn:	Last Updated:

Form N-CEN

Title	Type	Withdrawn	Last Updated
Title:Investment Company Reporting Modernization Frequently Asked Questions	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: April 27, 2018
Title:Small Entity Compliance Guide	Type:Rulemaking	Withdrawn:	Last Updated: Nov. 23, 2016
Title:Investment Company Reporting Modernization	Type:Rulemaking	Withdrawn:	Last Updated: Oct. 13, 2016

Form N-CSR/N-Q

Title	Type	Withdrawn	Last Updated
Title:Certified shareholder report of registered management investment companies	Type:Forms	Withdrawn:	Last Updated:
Title:Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company	Type:Forms	Withdrawn:	Last Updated:
Title:Technical Amendments to Forms N-CSR and N-SAR in Connection with the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010	Type:Rulemaking	Withdrawn:	Last Updated: Oct. 13, 2010
Title:College and University Facility Loan Trust One, et al.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 29, 2004

Form N-PORT

Title	Type	Withdrawn	Last Updated
Title:Investment Company Reporting Modernization Frequently Asked Questions	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: April 27, 2018
Title:Investment Company Liquidity Risk Management Programs Frequently Asked Questions	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Jan. 10, 2018
Title:Small Entity Compliance Guide	Type:Rulemaking	Withdrawn:	Last Updated: Nov. 23, 2016
Title:Investment Company Reporting Modernization	Type:Rulemaking	Withdrawn:	Last Updated: Oct. 13, 2016

Form N-PX

Title	Type	Withdrawn	Last Updated
Title:Annual Report of Proxy Voting Record of Registered Management Investment Company	Type:Forms	Withdrawn:	Last Updated:

Form N-SAR

Title	Type	Withdrawn	Last Updated
Title:Semi-annual report of registered investment companies	Type:Forms	Withdrawn:	Last Updated:
Title:Technical Amendments to Forms N-CSR and N-SAR in Connection with the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010	Type:Rulemaking	Withdrawn:	Last Updated: Oct. 13, 2010

Form PF

Title	Type	Withdrawn	Last Updated
Title:Electronic Filing of Form PF for Investment Advisers on PFRD	Type:Forms	Withdrawn:	Last Updated:
Title:Private Funds Statistics	Type:Resources	Withdrawn:	Last Updated:
Title:Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors	Type:Forms	Withdrawn:	Last Updated:
Title:Form PF - Frequently Asked Questions	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Jan. 18, 2017
Title:Money Market Fund Reform; Amendments to Form PF	Type:Rulemaking	Withdrawn:	Last Updated: July 23, 2014
Title:Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF	Type:Rulemaking	Withdrawn:	Last Updated: Oct. 31, 2011

Fund Governance

Title	Type	Withdrawn	Last Updated
Title:Investment Company Governance	Type:Rulemaking	Withdrawn:	Last Updated: July 27, 2004
Title:Adams Express Company	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Sept. 7, 1984

Fund Mergers

Title	Type	Withdrawn	Last Updated
Title:Merger of Two Exchange-Traded Funds	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Sept. 25, 2013
Title:Fifth Street Finance Corp.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 25, 2010
Title:Franklin Templeton Investments	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 21, 2008
Title:First Great-West Life & Annuity Insurance Company & Canada Life Insurance Company of New York	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 22, 2005
Title:Allstate Life Insurance Company	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 23, 2002
Title:Investment Company Mergers	Type:Rulemaking	Withdrawn:	Last Updated: July 18, 2002
Title:The Eaton Vance Group of Investment Companies	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 25, 1997
Title:Equitable Life Assurance Society	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 18, 1996

Fund of Funds

Title	Type	Withdrawn	Last Updated
Title:Fund of Funds Arrangements Frequently Asked Questions	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: April 14, 2021
Title:Fund of Funds - Direct Investment	Type:Exemptive Applications	Withdrawn:	Last Updated: Sept. 23, 2019
Title:Fund of Funds - Multi-Group	Type:Exemptive Applications	Withdrawn:	Last Updated: Sept. 23, 2019
Title:Dechert LLP	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 8, 2017
Title:Dechert (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Jan. 25, 2017
Title:Thrivent Financial for Lutherans and Thrivent Asset Management, LLC (Withdrawn))	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Sept. 27, 2016
Title:Northern Lights Fund Trust (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: June 29, 2015
Title:Franklin Templeton Investments (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: April 3, 2015
Title:New Mountain Finance Corporation	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 18, 2014
Title:Staff Responses to Questions Regarding Disclosure of Fund of Funds Expenses	Type:Staff Guidance / Other	Withdrawn:	Last Updated: May 23, 2007
Title:Fund of Funds Investments	Type:Rulemaking	Withdrawn:	Last Updated: June 20, 2006

Ineligible/Disqualified Firms

Title	Type	Withdrawn	Last Updated
Title:Exemptive Applications	Type:Exemptive Applications	Withdrawn:	Last Updated: Sept. 23, 2019

Insured Investments

Title	Type	Withdrawn	Last Updated
Title:ADI 2020-10 – Filing and Delivery Obligations for Certain Discontinued Variable Insurance Products	Type:Staff Guidance / Other	Withdrawn:	Last Updated: April 22, 2020
Title:Insurance Products - Bonus Recapture	Type:Exemptive Applications	Withdrawn:	Last Updated: Sept. 23, 2019
Title:Insurance Products - Exchange Offer	Type:Exemptive Applications	Withdrawn:	Last Updated: Sept. 23, 2019
Title:Insurance Products - Fund Substitution	Type:Exemptive Applications	Withdrawn:	Last Updated: Sept. 23, 2019
Title:Insurance Products - Mixed and Shared Funding	Type:Exemptive Applications	Withdrawn:	Last Updated:
Title:Insurance Products - Substitution Related Affiliated Securities Transactions	Type:Exemptive Applications	Withdrawn:	Last Updated: Sept. 23, 2019
Title:Jackson National Life	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 9, 2015
Title:Guidance Regarding Mixed and Shared Funding Orders	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Oct. 28, 2014
Title:Auditing Standards for Financial Statements of Insurance Company Depositors of Variable Insurance Products, Staff Letters	Type:Staff Guidance / Other	Withdrawn:	Last Updated: March 8, 2005
Title:Acacia National Life Insurance Company	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 19, 2003
Title:Allstate Life Insurance Company	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 23, 2002
Title:Aid Association for Lutherans/Lutheran Brotherhood	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 21, 2001
Title:AIG Life Insurance Company - American International Life Assurance Company of New York	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 6, 2001
Title:AIG Life Insurance Company	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 16, 2001
Title:Retail Exception to Section 11, Letter to NAVA	Type:Staff Guidance / Other	Withdrawn:	Last Updated: June 19, 2001

International

Title	Type	Withdrawn	Last Updated
Title:Staff Statement Regarding Temporary International Mail Service Suspensions to Certain Jurisdictions Related to the COVID-19 Pandemic	Type:Staff Guidance / Other	Withdrawn:	Last Updated: June 25, 2020
Title:(Information Update for Advisers Relying on the Unibanco No-Action Letters)	Type:Staff Guidance / Other	Withdrawn:	Last Updated: March 13, 2017
Title:Dechert LLP	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 8, 2017
Title:Royal Dutch Shell plc	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 7, 2015
Title:Erste Abwicklungsanstalt	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 10, 2012
Title:Foxby Corp.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Sept. 17, 2012
Title:Allianz of America, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: May 25, 2012
Title:Dechert LLP	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 24, 2009
Title:Fortis Group, et al.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Jan. 27, 2009
Title:Franklin Templeton Investments	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 21, 2008
Title:Dexia Municipal Agency	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 26, 2007
Title:ABA Subcommittee on Private Investment Entities	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 10, 2006
Title:France Growth Fund, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 15, 2003
Title:Fixed Income Clearing Corporation	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 13, 2003
Title:France Growth Fund, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 6, 2001
Title:Fidelity Advisor Korea Fund, Inc	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 7, 2001
Title:Goodwin, Procter & Hoar	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 5, 1998
Title:Chase Manhattan Bank	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 12, 1998
Title:Depository Clearing Company	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 19, 1997
Title:Five Arrows Short-Term Investment Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Sept. 26, 1997
Title:ABN AMRO Bank N.V.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 1, 1997
Title:Bucharest Stock Exchange	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 3, 1997
Title:Eaton Vance South Asia Portfolio	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 12, 1997
Title:Goodwin, Procter & Hoar	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 28, 1997
Title:Financial Services Board	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 24, 1996
Title:Mark A. Bush	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 8, 1995
Title:Fiduciary Trust Global Fund	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 2, 1995
Title:ESI S.A.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 2, 1995
Title:The Canadian Depository for Securities Limited	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 4, 1994
Title:Custody of B Shares Trading on the Shenzhen and Shanghai Securities Exchanges	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 26, 1993
Title:Alliance Capital Management L.P.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 7, 1993

Investment Advisers - General

Title	Type	Withdrawn	Last Updated
Title:Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors	Type:Resources	Withdrawn:	Last Updated: June 28, 2021
Title:Securities Industry and Financial Markets Association	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 4, 2019
Title:Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Oct. 18, 2019
Title:Downloadable File of Certain Registration Information for All Active SEC-registered Investment Advisers	Type:Resources	Withdrawn:	Last Updated:
Title:IARD Entitlement Forms	Type:Forms	Withdrawn:	Last Updated:
Title:Private Funds Statistics	Type:Resources	Withdrawn:	Last Updated:
Title:Electronic Filing for Investment Advisers on IARD	Type:Forms	Withdrawn:	Last Updated:
Title:Form 13F (Discretionary Managers with $100M or more of certain securities)	Type:Forms	Withdrawn:	Last Updated:
Title:Form ADV (Application for Registration and Report for Exempt Reporting Advisers)	Type:Forms	Withdrawn:	Last Updated:
Title:Form ADV Part 1A Summary of Changes Per IA 4509 To Be Implemented October 1, 2017	Type:Forms	Withdrawn:	Last Updated:
Title:Form PF (Reporting for Advisers to Private Funds)	Type:Forms	Withdrawn:	Last Updated:
Title:Other Forms (ADV-E, ADV-H, ADV-NR, ADV-W)	Type:Forms	Withdrawn:	Last Updated:
Title:Amendments to Investment Advisers Act Rules to Reflect Changes Made by the FAST Act	Type:Rulemaking	Withdrawn:	Last Updated: Jan. 5, 2018
Title:Small Entity Compliance Guide	Type:Rulemaking	Withdrawn:	Last Updated: Jan. 5, 2018
Title:Securities Industry and Financial Markets Association	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 26, 2017
Title:Innovator Capital Management, LLC, et al.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 6, 2017
Title:Frequently Asked Questions on Form ADV and IARD	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Sept. 29, 2017
Title:Nuveen Fund Advisors, LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 20, 2017
Title:Frequently Asked Questions about 13F	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: March 15, 2017
Title:IM Guidance Update (Robo-Advisers)	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Feb. 23, 2017
Title:(Staff Guidance Concerning Investment Adviser Reliance on Predecessor Registrations)	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Nov. 18, 2016
Title:Neuberger Berman Investment Advisers LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Sept. 28, 2016
Title:Form ADV and Investment Advisers Act Rules	Type:Rulemaking	Withdrawn:	Last Updated: Aug. 25, 2016
Title:Small Entity Compliance Guide	Type:Rulemaking	Withdrawn:	Last Updated:
Title:Adviser Business Continuity and Transition Plans	Type:Rulemaking	Withdrawn:	Last Updated: June 28, 2016
Title:Code of Ethics Guidance for Investment Advisers	Type:Staff Guidance / Other	Withdrawn:	Last Updated: June 26, 2015
Title:Cybersecurity Guidance	Type:Staff Guidance / Other	Withdrawn:	Last Updated: April 28, 2015
Title:Jonathon Hendricks	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Jan. 26, 2015
Title:Staff Legal Bulletin: Proxy Voting Responsibilities of Investment Advisers	Type:Staff Guidance / Other	Withdrawn:	Last Updated: July 1, 2014
Title:MEAG MUNICH ERGO.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 14, 2014
Title:Frequently Asked Questions on Form PF	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Feb. 12, 2014
Title:Risk Management in Changing Fixed Income Market Conditions	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Jan. 15, 2014
Title:RBS Securities, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 26, 2013
Title:Wells Fargo Bank, N.A.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 15, 2013
Title:Goldman, Sachs & Co.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 20, 2013
Title:Compliance With Exemptive Order	Type:Staff Guidance / Other	Withdrawn:	Last Updated: May 10, 2013
Title:Identity Theft Red Flags	Type:Rulemaking	Withdrawn:	Last Updated: April 10, 2013
Title:Regulation of Investment Advisers	Type:Resources	Withdrawn:	Last Updated: March 1, 2013
Title:Emerging Global Advisors, LLC and EGA Emerging Global Shares Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 27, 2013
Title:Investment Advisers Registered with the Commodity Futures Trading Commission (CFTC) that Advise Private Funds	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Nov. 15, 2012
Title:Dodd-Frank Act Changes to Investment Adviser Registration Requirements	Type:Resources	Withdrawn:	Last Updated: Oct. 1, 2012
Title:Staff Responses to Questions About the Pay to Play Rule	Type:Staff Guidance / Other	Withdrawn:	Last Updated: July 27, 2012
Title:Advisory Contracts - Consent	Type:Staff Guidance / Other	Withdrawn:	Last Updated: June 15, 2012
Title:Political Contributions by Investment Advisers (Pay to Play Rule)	Type:Rulemaking	Withdrawn:	Last Updated: June 11, 2012
Title:Staff Responses to Questions About the Family Office Rule	Type:Staff Guidance / Other	Withdrawn:	Last Updated: April 27, 2012
Title:Regulation of Investment Advisers: Outline and Staff Views	Type:Resources	Withdrawn:	Last Updated: April 1, 2012
Title:Advisory Contracts - Transition for Newly Registered and Registering Advisers	Type:Staff Guidance / Other	Withdrawn:	Last Updated: March 30, 2012
Title:Persons Who Provide Advice Solely Regarding Matters Not Concerning Securities	Type:Staff Guidance / Other	Withdrawn:	Last Updated: March 27, 2012
Title:GE Funding Capital Market Services, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Jan. 25, 2012
Title:Staff Responses to Questions About the Custody Rule	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Dec. 13, 2011
Title:Reporting by Investment Advisers to Private Funds (Form PF)	Type:Rulemaking	Withdrawn:	Last Updated: Oct. 31, 2011
Title:Frequently Asked Questions Regarding Mid-Sized Advisers	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: June 28, 2011
Title:Dodd-Frank Exemptions Release (Venture Capital Fund Advisers, Private Fund Advisers with less than $150M AUM, and Foreign Private Advisers)	Type:Rulemaking	Withdrawn:	Last Updated: June 22, 2011
Title:Dodd-Frank Implementing Release (Registration of Private Fund Advisers, Reallocation of Mid-Sized Advisers)	Type:Rulemaking	Withdrawn:	Last Updated: June 22, 2011
Title:Family Offices	Type:Rulemaking	Withdrawn:	Last Updated: June 22, 2011
Title:Rules Implementing Amendments to the Investment Advisers Act of 1940	Type:Rulemaking	Withdrawn:	Last Updated: June 22, 2011
Title:Rules Under the Investment Advisers Act of 1940	Type:Resources	Withdrawn:	Last Updated: June 22, 2011
Title:Staff Responses to Questions About Part 2 of Form ADV	Type:Staff Guidance / Other	Withdrawn:	Last Updated: March 18, 2011
Title:Information for Newly-Registered Investment Advisers	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Nov. 23, 2010
Title:Information for Newly Registered Advisers	Type:Resources	Withdrawn:	Last Updated: Nov. 1, 2010
Title:Citigroup Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 22, 2010
Title:General Electric Company	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 2, 2010
Title:Amendments to Form ADV	Type:Rulemaking	Withdrawn:	Last Updated: July 28, 2010
Title:Goldman, Sachs & Co.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 22, 2010
Title:Claymore Advisors, LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 27, 2010
Title:Fifth Street Finance Corp.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 25, 2010
Title:Custody of Funds or Securities of Clients by Investment Advisers (Custody Rule)	Type:Rulemaking	Withdrawn:	Last Updated: Dec. 30, 2009
Title:General Electric Company	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 12, 2009
Title:Deutsche Bank Securities Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 9, 2009
Title:E*Trade Capital Markets LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 12, 2009
Title:Fortis Group, et al.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Jan. 27, 2009
Title:Citigroup Global Markets, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 23, 2008
Title:First Trust/Gallatin Specialty Finance and Financial Opportunities Fund	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 11, 2008
Title:Technical Amendments to Form ADV	Type:Rulemaking	Withdrawn:	Last Updated: Jan. 17, 2008
Title:Emanuel J. Friedman and EJF Capital LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Jan. 16, 2007
Title:Citigroup Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 26, 2006
Title:Gardner Russo & Gardner	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 7, 2006
Title:Evergreen Investment Management Company LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 11, 2005
Title:Credit Suisse First Boston, LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 31, 2005
Title:CIBC Mellon Trust Company	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 24, 2005
Title:Goldman, Sachs & Co.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 23, 2005
Title:Deutsche Bank Securities Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Sept. 24, 2004
Title:Compliance Programs of Investment Companies and Investment Advisers	Type:Rulemaking	Withdrawn:	Last Updated: Dec. 17, 2003
Title:Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 31, 2003
Title:Credit Suisse First Boston LLC f/k/a Credit Suisse First Boston Corporation	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 31, 2003
Title:Goldman, Sachs & Company	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 31, 2003
Title:Dougherty & Company LCC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 3, 2003
Title:Fahnestock & Company Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 21, 2003
Title:Dougherty & Company LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 21, 2003
Title:Constellation Financial Management LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Jan. 9, 2003
Title:Evergreen Investment Management Company, LLC (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Feb. 13, 2002
Title:Investment Adviser Regulatory Issues	Type:Resources	Withdrawn:	Last Updated: May 23, 2000
Title:Letter From the Office of Compliance Inspections and Examinations: To Registered Investment Advisers, on Areas Reviewed and Violations Found During Inspections	Type:Staff Guidance / Other	Withdrawn:	Last Updated: May 1, 2000
Title:Amendments to Form ADV	Type:Rulemaking	Withdrawn:	Last Updated: April 5, 2000
Title:Franklin Management, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 10, 1998
Title:DALBAR, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 24, 1998
Title:GE Funds	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 7, 1997
Title:First Call Corporation	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Sept. 6, 1995
Title:Mark A. Bush	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 8, 1995
Title:George Colman	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 18, 1995
Title:California Municipal Cash Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 11, 1995
Title:Dana Investment Advisors, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 12, 1994
Title:The Capitol Mutual Funds and Nations Fund Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 24, 1994

JOBS Act

Title	Type	Withdrawn	Last Updated
Title:The Jumpstart Our Business Startups Act and Investment Companies	Type:Resources	Withdrawn:	Last Updated: May 3, 2012

Money Market Funds

Title	Type	Withdrawn	Last Updated
Title:Investment Company Institute, March 19, 2020	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 19, 2020
Title:Form N-MFP	Type:Forms	Withdrawn:	Last Updated:
Title:2014 Money Market Fund Reform Frequently Asked Questions	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Jan. 13, 2016
Title:Money Market Fund Reform; Amendments to Form PF	Type:Rulemaking	Withdrawn:	Last Updated: July 23, 2014
Title:Staff Responses to Questions About Money Market Fund Reform	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Aug. 7, 2012
Title:Tri-Party Repos - Counterparty Risk Management	Type:Staff Guidance / Other	Withdrawn:	Last Updated: July 17, 2012
Title:Staff Responses to Questions about Rule 30b1-7 and Form N-MFP	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: July 29, 2011
Title:Money Market Funds and Systemic Risk Roundtable	Type:Resources	Withdrawn:	Last Updated: May 10, 2011
Title:Staff Responses to Questions about Information Filed on Form N-MFP	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Jan. 25, 2011
Title:Money Market Fund Reform	Type:Rulemaking	Withdrawn:	Last Updated: Feb. 23, 2010
Title:SEC Release Adopting Form N-MFP	Type:Rulemaking	Withdrawn:	Last Updated: Feb. 23, 2010
Title:Disclosure of Certain Money Market Fund Portfolio Holdings	Type:Rulemaking	Withdrawn:	Last Updated: Sept. 18, 2009
Title:Dechert LLP	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 24, 2009
Title:Allianz Funds	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 3, 2009
Title:Citigroup Global Markets, Inc	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: May 28, 2009
Title:College Retirement Equities Fund (CREF)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 13, 2009
Title:Columbia Funds Series Trust - Columbia Cash Reserves	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 2, 2009
Title:Columbia Funds Series Trust - Columbia Money Market Reserves	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 2, 2009
Title:Columbia Funds Series Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 22, 2008
Title:Advantus Series Fund	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 20, 2008
Title:Dreyfus Cash Management Plus	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 20, 2008
Title:Dreyfus Money Funds	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 20, 2008
Title:Dreyfus Money Funds	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 20, 2008
Title:Division of Investment Management Responses to Frequently Asked Questions about The Reserve Fund and Money Market Funds	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Oct. 1, 2008
Title:Dreyfus Cash Management, et al.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Sept. 25, 2008
Title:Eaton Vance Management	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 13, 2008
Title:EIF Neptune, LLC Starwood Energy Investors, LLC & Atlantic Energy Parts	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 29, 2005
Title:AAL Mutual Funds, et al. (Withdrawn)	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn: Withdrawn	Last Updated: Dec. 12, 2002
Title:Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities	Type:Rulemaking	Withdrawn:	Last Updated: July 5, 2001
Title:Five Arrows Short-Term Investment Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Sept. 26, 1997
Title:Charles Schwab & Co., Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 7, 1997
Title:ACM Institutional Reserves, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 14, 1995
Title:Alliance Municipal Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 14, 1995
Title:California Municipal Cash Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 11, 1995
Title:Adam W. Glass	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 9, 1994
Title:CBA Money Fund, et al.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 9, 1994
Title:Donaldson, Lufkin & Jenrette Securities Corporation	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: May 26, 1994
Title:Sean J. Egan	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: May 10, 1994

Mortgages/Real Estate/REITs

Title	Type	Withdrawn	Last Updated
Title:Redwood Trust, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 15, 2019
Title:Great Ajax Funding LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 12, 2018
Title:Redwood Trust, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 16, 2017
Title:Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments	Type:Resources	Withdrawn:	Last Updated: Aug. 31, 2011
Title:Exclusion From the Definition of Investment Company for Certain Structured Financings	Type:Rulemaking	Withdrawn:	Last Updated: Nov. 19, 1992
Title:Exclusion From the Definition of Investment Company for Certain Structured Financings	Type:Rulemaking	Withdrawn:	Last Updated: May 29, 1992
Title:Protecting Investors: A Half Century of Investment Company Regulation, Chapter 1	Type:Resources	Withdrawn:	Last Updated: Dec. 31, 1991
Title:Greenwich Capital Acceptance Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 8, 1991
Title:NAB Asset Corp.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 20, 1991
Title:Citytrust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Dec. 19, 1990
Title:United States Property Investment N.V.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: May 1, 1989
Title:United Bankers	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 23, 1988
Title:M.D.C. Holdings	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: May 5, 1987
Title:The State Street Mortgage Co.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 18, 1986
Title:First National Bank of Fremont	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 18, 1985
Title:Salomon Brothers, Inc.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: June 17, 1985
Title:Health Facility Credit Corp.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 6, 1985
Title:Baton Rouge Building and Construction Industry Foundation	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 31, 1984
Title:Northwestern Ohio Building and Construction Trades Foundation	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 20, 1984
Title:Nottingham Realty Securities	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 19, 1984
Title:Realex Capital Corporation	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 19, 1984
Title:American Home Finance Corp.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: April 9, 1981
Title:MGIC Mortgage Corp.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Aug. 1, 1974
Title:MGIC Mortgage Corp.	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Oct. 6, 1972
Title:Urban Land Investments	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Nov. 4, 1971
Title:Real Estate Investment Trusts	Type:Resources	Withdrawn:	Last Updated: Nov. 18, 1960

Pay-to-Play

Title	Type	Withdrawn	Last Updated
Title:Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Compliance Date	Type:Rulemaking	Withdrawn:	Last Updated: June 25, 2015
Title:Regulation of Investment Advisers	Type:Resources	Withdrawn:	Last Updated: March 1, 2013
Title:Staff Responses to Questions About the Pay to Play Rule	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: July 27, 2012
Title:Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation	Type:Rulemaking	Withdrawn:	Last Updated: June 8, 2012
Title:Technical Amendment to Rule 206(4)-5: Political Contributions by Certain Investment Advisers	Type:Rulemaking	Withdrawn:	Last Updated: May 8, 2012
Title:Political Contributions by Certain Investment Advisers	Type:Rulemaking	Withdrawn:	Last Updated: July 1, 2010

Portfolio Management - Concentration/Diversification

Title	Type	Withdrawn	Last Updated
Title:BlackRock Multi-Sector Income Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 9, 2013
Title:Morgan Stanley Mortgage Securities Trust	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: July 9, 2013
Title:Frequently Asked Questions about Rule 35d-1 (Investment Company Names)	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Dec. 4, 2001

Portfolio Management - Liquidity/Leverage/Names Rule

Title	Type	Withdrawn	Last Updated
Title:Investment Company Liquidity Risk Management Programs Frequently Asked Questions	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Jan. 10, 2018
Title:Small Entity Compliance Guide	Type:Rulemaking	Withdrawn:	Last Updated: Nov. 23, 2016
Title:Investment Company Liquidity Risk Management Programs	Type:Rulemaking	Withdrawn:	Last Updated: Oct. 13, 2016
Title:Fund Names Suggesting Protection From Loss	Type:Staff Guidance / Other	Withdrawn:	Last Updated: Nov. 13, 2013
Title:Frequently Asked Questions about Rule 35d-1 (Investment Company Names)	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Dec. 4, 2001

Privacy/Identity Theft

Title	Type	Withdrawn	Last Updated
Title:Cybersecurity Guidance	Type:Staff Guidance / Other	Withdrawn:	Last Updated: April 28, 2015
Title:Identity Theft Red Flags Rules	Type:Rulemaking	Withdrawn:	Last Updated: April 10, 2013
Title:Regulation of Investment Advisers	Type:Resources	Withdrawn:	Last Updated: March 2, 2013
Title:Final Model Privacy Form under the Gramm-Leach-Bliley Act	Type:Rulemaking	Withdrawn:	Last Updated: Nov. 16, 2009
Title:Regulation S-AM: Limitations on Affiliate Marketing	Type:Rulemaking	Withdrawn:	Last Updated: Nov. 5, 2009
Title:Report Issued on Improving Financial Privacy Notices for Consumers	Type:Resources	Withdrawn:	Last Updated: March 31, 2006
Title:Staff Responses to Questions about Regulation S-P	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Jan. 23, 2003
Title:Privacy of Consumer Financial Information (Regulation S-P)	Type:Rulemaking	Withdrawn:	Last Updated: June 22, 2000

Private Fund Advisers

Title	Type	Withdrawn	Last Updated
Title:Alliance Trust Company of Nevada, March 5, 2021	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 5, 2021
Title:Downloadable File of Certain Registration Information for All Active SEC-registered Investment Advisers	Type:Resources	Withdrawn:	Last Updated:
Title:Electronic Filing for Investment Advisers on IARD	Type:Forms	Withdrawn:	Last Updated:
Title:Electronic Filing of Form PF for Investment Advisers on PFRD	Type:Forms	Withdrawn:	Last Updated:
Title:Private Funds Statistics	Type:Resources	Withdrawn:	Last Updated:
Title:Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors	Type:Forms	Withdrawn:	Last Updated:
Title:Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers	Type:Forms	Withdrawn:	Last Updated:
Title:Frequently Asked Questions on Form ADV and IARD	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: June 12, 2017
Title:Form ADV and Investment Advisers Act Rules	Type:Rulemaking	Withdrawn:	Last Updated: Aug. 26, 2016
Title:Guidance on FAST Act Changes to Advisers Act Affecting Advisers to SBICs	Type:Staff Guidance / Other	Withdrawn:	Last Updated: March 21, 2016
Title:Personal Securities Transactions Reports by Registered Investment Advisers: Securities Held in Accounts Over Which Reporting Persons Had No Influence Or Control	Type:Staff Guidance / Other	Withdrawn:	Last Updated: June 1, 2015
Title:Cybersecurity Guidance	Type:Staff Guidance / Other	Withdrawn:	Last Updated: April 28, 2015
Title:16th Amendment Advisors LLC	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: March 23, 2015
Title:Private Funds and the Application of the Custody Rule to Special Purpose Vehicles and Escrows	Type:Staff Guidance / Other	Withdrawn:	Last Updated: June 26, 2014
Title:Frequently Asked Questions on Form PF	Type:Staff Guidance / FAQ	Withdrawn:	Last Updated: Feb. 12, 2014
Title:Managed Funds Association	Type:Staff Guidance / No-Action and Interpretive Letters	Withdrawn:	Last Updated: Feb. 6, 2014
Title:Guidance on the Exemption for Advisers to Venture Capital Funds	Type:Staff Guidance / Other	Withdrawn:	Last Updated: