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

Accounting and Auditing

Title
Type
Withdrawn
Last Updated
Title:Regulation S-X Type:Rulemaking Withdrawn: Last Updated:
Title:Investment Company Reporting Modernization Frequently Asked Questions Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Staff Accounting Bulletins Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Fidelity Management & Research Company et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Fidelity Management & Research Company et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Carey Credit Income Fund et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Guidance Regarding Investment Company Consolidation Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Robert Van Grover, Esq., Seward & Kissel LLP Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Guidance Regarding Business Development Companies - Separate Financial Statements or Summarized Financial Information of Certain Subsidiaries Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Copley Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Copley Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Form PF Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Copley Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:After-Tax Return Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Guidance for Consulting with the Office of the Chief Accountant Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Investment Company Institute Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Work Plan for Global Accounting Standards Type:Resources Withdrawn: Last Updated:
Title:Business Development Companies- Auditor Verification of Securities Owned Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Auditor Independence Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Custody Rule Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Technical Amendments to Commission Rules and Forms Related to the FASB's Accounting Standards Codification Type:Rulemaking Withdrawn: Last Updated:
Title:Seward & Kissel Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Codification of Staff Accounting Bulletins Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:American Institute of Certified Public Accountants Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Seward & Kissell Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Derivatives-Related Disclosures by Investment Companies Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:ABA Retirement Funds Program Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
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:
Title:Custody of Funds or Securities of Clients by Investment Advisers- IA-2968 Type:Rulemaking Withdrawn: Last Updated:
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:
Title:Office of the Chief Accountant and FASB Staff Clarifications on Fair Value Accounting Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Fidelity Gold Portfolio Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:NGP Capital Resources Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
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:
Title:Disclosure of Fund of Funds Expenses Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Implementation of FASB Interpretation No. 48, Letter to ICI Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Deloitte Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:ABA Subcommittee on Private Investment Entities Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Auditing Standards for Financial Statements of Insurance Company Depositors of Variable Insurance Products, Staff Letters Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Strengthening the Commission's Requirements Regarding Auditor Independence Type:Rulemaking Withdrawn: Last Updated:
Title:Mutual Fund After-Tax Return Requirements Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:From the Chief Accountant, Letter to CFOs Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Revision of the Commission's Auditor Independence Requirements Type:Rulemaking Withdrawn: Last Updated:
Title:From the Chief Accountant, Letter to CFOs Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:From the Chief Accountant, Letter to CFOs Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:From the Chief Accountant, Letter to CFOs Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:From the Chief Accountant, Letter to CFOs Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:From the Chief Accountant, Letter to CFOs Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:From the Chief Accountant, Letter to CFOs Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:From the Chief Accountant, Letter to CFOs Type:Staff Guidance / Other Withdrawn: Last Updated:
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:
Title:Accounting Series Release No. 118: Accounting for Investment Securities by Registered Investment Companies Type:Rulemaking Withdrawn: Last Updated:
Title:Accounting Series Release No. 113: Statement Regarding "Restricted Securities Type:Rulemaking Withdrawn: Last Updated:

Advertising/Performance/Social Media

Title
Type
Withdrawn
Last Updated
Title:South State Bank Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Redwood Trust, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Guidance on the Testimonial Rule and Social Media Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Guidance on the Testimonial Rule and Social Media Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Regulation of Investment Advisers Type:Resources Withdrawn: Last Updated:
Title:Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles Type:Rulemaking Withdrawn: Last Updated:
Title:ABA Subcommittee on Private Investment Entities Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Franklin Management, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:DALBAR, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:GE Funds Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Clover Capital Management, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:

Advisory Contract/Fees - Investment Adviser

Title
Type
Withdrawn
Last Updated
Title:Amerivest Investment Management, LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Regulation of Investment Advisers Type:Resources Withdrawn: Last Updated:
Title:The Ayco Company L.P. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:George Colman Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Dean Witter, Discover & Co. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:

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:
Title:American Century Investment Management, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:RiverNorth Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:RS Global Natural Resources Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Emerging Global Advisors, LLC and EGA Emerging Global Shares Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Claymore Advisors, LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Franklin Templeton Investments Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Fortis Group, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:First Trust/Gallatin Specialty Finance and Financial Opportunities Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Citigroup Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Eaton Vance Special Investment Trust, et al Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Gartmore Mutual Funds Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Constellation Financial Management LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:The Chase Manhattan Bank Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Daughters of Charity National Health System, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Franklin Templeton Group of Funds Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Century Shares Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Dean Witter, Discover & Co. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:

Affiliated Transactions/Joint Transactions

Title
Type
Withdrawn
Last Updated
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:
Title:Russell Investment Management, LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Guidance Regarding Acceptance of Gifts or Entertainment by Fund Advisory Personnel Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Guidance Regarding Business Development Companies-Transactions with Certain Second-Tier Affiliates Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Series Investment Companies:Â Affiliated Transactions Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Fifth Street Finance Corp. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Allianz Funds Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Columbia Funds Series Trust - Columbia Cash Reserves Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Columbia Funds Series Trust - Columbia Money Market Reserves Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Columbia Funds, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Columbia Funds Series Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Advantus Series Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Dreyfus Cash Management Plus Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Dreyfus Money Funds Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Dreyfus Cash Management, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Goldman Sachs Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Allianz Dresdner Daily Asset Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:First American Funds, Inc. - Prime Obligation Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Gartmore Variable Insurance Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:GuideStone Financial, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Federated Municipal Funds Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Citigroup Global Markets, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Citigroup Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:GE Institutional Funds Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Evergreen Investment Management Company LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:GE Life and Annuity Assurance Company Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:AAL Mutual Funds, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Evergreen Investment Management Company, LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:AIM Advisors, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Government Securities Clearing Corporation Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Calvert Social Index Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:The Chase Manhattan Bank Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Massachusetts Mutual Life Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Massachusetts Mutual Life Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Drinker, Biddle & Reath Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:The Eaton Vance Group of Investment Companies Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Alliance Funds Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Dean Witter World Wide Investment Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Dreyfus Asset Allocation Fund, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Financial Services Board Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:DFA Investment Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:DFA Investment Trust Company Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:ACM Institutional Reserves, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Alliance Municipal Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:California Municipal Cash Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Chief Financial Officer Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Federated Investors Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:The Capitol Mutual Funds and Nations Fund Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Defined Asset Funds - Equity Income Fund - Select Ten Series Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:

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:
Title:FINCEN Final Rule: Amendment to the Bank Secrecy Act Regulations; Defining Mutual Funds as Financial Institutions Type:Resources Withdrawn: Last Updated:
Title:Joint Release; Guidance on Obtaining and Retaining Beneficial Ownership Information Type:Resources Withdrawn: Last Updated:
Title:Anti-Money Laundering (AML) Source Tool for Broker-Dealers Type:Resources Withdrawn: Last Updated:
Title:Anti-Money Laundering (AML) Source Tool for Mutual Funds Type:Resources Withdrawn: Last Updated:
Title:Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association Type:Resources Withdrawn: Last Updated:
Title:Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association, extending February 12, 2004 letter Type:Resources Withdrawn: Last Updated:
Title:Financial Crimes Enforcement Network; Requests by Law Enforcement for Financial Institutions to Maintain Accounts, U.S. Treasury guidance Type:Resources Withdrawn: Last Updated:
Title:Financial Crimes Enforcement Network; Suspicious Activity Report Supporting Documentation Type:Resources Withdrawn: Last Updated:
Title:FinCEN Delays Implementation of Revised Suspicious Activity Report (SAR) Forms Type:Resources Withdrawn: Last Updated:
Title:Frequently Asked Questions; Suspicious Activity Reporting Requirements for Mutual Funds Type:Resources Withdrawn: Last Updated:
Title:Trading and Markets No-Action Letter: Securities Industry Association, extending further February 12, 2004 letter Type:Resources Withdrawn: Last Updated:
Title:Application of the Regulations regarding Special Due Diligence Programs for Certain Foreign Accounts to NSCC Fund/SERV Accounts Type:Resources Withdrawn: Last Updated:
Title:Financial Crimes Enforcement Network; Amendment to the Bank Secrecy Act Regulations - Requirement That Mutual Funds Report Suspicious Transactions Type:Resources Withdrawn: Last Updated:
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:
Title:Trading and Markets No-Action Letter: Securities Industry Association, extending February 12, 2004 letter Type:Resources Withdrawn: Last Updated:
Title:Trading and Markets No-Action Letter: Securities Industry Association Type:Resources Withdrawn: Last Updated:
Title:Question and Answer Regarding the Broker-Dealer Customer Identification Program Rule Type:Resources Withdrawn: Last Updated:
Title:Questions and Answers Regarding the Mutual Fund Customer Identification Program Rule Type:Resources Withdrawn: Last Updated:
Title:Questions and Answers Regarding the Mutual Fund Customer Identification Program Rule Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Customer Identification Programs for Mutual Funds Type:Resources Withdrawn: Last Updated:
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:
Title:SEC-SIA Anti-Money Laundering Webcast Scheduled for Monday, November 25, 2002 Type:Resources Withdrawn: Last Updated:
Title:Proposed Amendment to the Bank Secrecy Act Rules — Requirement That Insurance Companies Report Suspicious Transactions Type:Resources Withdrawn: Last Updated:
Title:Proposed Amendment to the Bank Secrecy Act Rules — Anti-Money Laundering Programs for Unregistered Investment Companies Type:Resources Withdrawn: Last Updated:
Title:Proposed Amendment to the Bank Secrecy Act Rules — Customer Identification Programs for Broker-Dealers Type:Resources Withdrawn: Last Updated:
Title:Proposed Amendment to the Bank Secrecy Act Rules — Customer Identification Programs for Mutual Funds Type:Resources Withdrawn: Last Updated:
Title:Amendment to the Bank Secrecy Act Rules — Requirement that Brokers or Dealers in Securities Report Suspicious Transactions Type:Resources Withdrawn: Last Updated:
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:
Title:Anti-Money Laundering Programs for Mutual Funds Type:Resources Withdrawn: Last Updated:
Title:Order Approving Proposed Rule Changes Relating to Anti-Money Laundering Compliance Programs Type:Resources Withdrawn: Last Updated:
Title:Proposed Amendment to the Bank Secrecy Act — Requirement of Brokers or Dealers in Securities to Report Suspicious Transactions Type:Resources Withdrawn: Last Updated:

Asset-Backed Securities Issuers

Title
Type
Withdrawn
Last Updated
Title:Treatment of Asset-Backed Issuers under the Investment Company Act Type:Rulemaking Withdrawn: Last Updated:
Title:Franklin Templeton Investments Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Citibank, N.A. Type:Exemptive Applications Withdrawn: Last Updated:
Title:Deutsche Bank Trust Company Americas Type:Exemptive Applications Withdrawn: Last Updated:
Title:Credit Suisse First Boston Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Nebraska Higher Education Loan Program Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Federated Investors Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:ESI S.A. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Global Exempt Certificates of Ownership in NHA MBS Securities Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Donaldson, Lufkin & Jenrette Securities Corporation Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Brown & Wood Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Exclusion From the Definition of Investment Company for Certain Structured Financings Type:Rulemaking Withdrawn: Last Updated:
Title:Exclusion From the Definition of Investment Company for Certain Structured Financings Type:Rulemaking Withdrawn: Last Updated:
Title:Protecting Investors: A Half Century of Investment Company Regulation Type:Resources Withdrawn: Last Updated:

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:
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:
Title:Guidance Regarding Business Development Companies-Transactions with Certain Second-Tier Affiliates Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Business Development Companies with Wholly-Owned SBIC Subsidiaries-Asset Coverage Requirements Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Main Street Capital Corporation Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:New Mountain Finance Corporation Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:MCG Capital Corporation Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Joint Transactions — Portfolio Holdings of Companies Electing Status as Business Development Companies (BDCs) Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Business Development Company Report Dataset Type:Resources Withdrawn: Last Updated:
Title:Business Development Companies — Auditor Verification of Securities Owned Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Definition of Eligible Portfolio Company under the Investment Company Act of 1940 Type:Rulemaking Withdrawn: Last Updated:

Closed-End Funds

Title
Type
Withdrawn
Last Updated
Title:Co-Investment Type:Exemptive Applications Withdrawn: Last Updated:
Title:Eagle Point Credit Company Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:PIMCO Dynamic Income Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Nuveen California Select Tax-Free Income Portfolio Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Nuveen Municipal Income Fund, Inc. et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Ironwood Multi-Strategy Fund LLC and Ironwood Institutional Multi-Strategy Fund LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Guggenheim Credit Allocation Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Invesco Senior Income Trust, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:The Herzfeld Caribbean Basin Fund, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:BlackRock Health Sciences Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Fiduciary/Claymore MLP Opportunity Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Nuveen Credit Strategies Income Fund, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Guggenheim Strategic Opportunities Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:The Gabelli Convertible & Income Securities Fund, Inc., et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:The Mexico Fund, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Aberdeen Asia-Pacific Income Fund, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Credit Suisse High Yield Bond Fund and Credit Suisse Asset Management Income Fund, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Eaton Vance, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:First Trust, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:John Hancock Investors Trust and John Hancock Tax-Advantaged Global Shareholder Yield Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:NexPoint Credit Strategies Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Nuveen, et al Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Closed-End Fund Information Dataset Type:Resources Withdrawn: Last Updated:
Title:Aberdeen Australia Equity Fund, Inc., Aberdeen Chile Fund, Inc. and Aberdeen Global Income Fund, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:FQF Trust, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Franklin Templeton Investments Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Aberdeen Australia Equity Fund, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:College and University Facility Loan Trust One, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:France Growth Fund, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Frank Russell Investment Company, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Dessauer Global Equity Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:

Code of Ethics

Title
Type
Withdrawn
Last Updated
Title:Code of Ethics Guidance for Investment Advisers Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Regulation of Investment Advisers Type:Resources Withdrawn: Last Updated:
Title:Investment Adviser Codes of Ethics Type:Rulemaking Withdrawn: Last Updated:

Commodities

Title
Type
Withdrawn
Last Updated
Title:Money Market Fund Reform Type:Rulemaking Withdrawn: Last Updated:
Title:Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities Type:Rulemaking Withdrawn: Last Updated:

Compliance - Investment Companies

Title
Type
Withdrawn
Last Updated
Title:Nuveen Fund Advisors, LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Business Continuity Planning for Registered Investment Companies Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Cybersecurity Guidance Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Series Investment Companies:Â Affiliated Transactions Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Shareholder Notices of the Sources of Fund Distributions - Electronic Delivery Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Compliance With Exemptive Orders Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Affiliated Funds of Funds — Section 12(d)(1) of the Investment Company Act Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Advisory Contracts — Combined Investment Advisory and Service Fees Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Investment Company Series and Class Information Dataset Type:Resources Withdrawn: Last Updated:
Title:Funds Using Tender Option Bond (TOB) Financings Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Rule 18f-3 under the Investment Company Act — Removal of a Class Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Derivatives-Related Disclosures by Investment Companies, Letter to ICI Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Claymore Advisors, LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Proxy Disclosure Enhancements Transition for Registered Investment Companies Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Registered Investment Company Use of Senior Securities — Select Bibliography Type:Resources Withdrawn: Last Updated:
Title:Cabot Wellington, LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Funds Use of Rule 22c-2 Information for Marketing Purposes, Letter to ICI Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Cooley Godward & Kronish Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Staff Responses to Questions Regarding Disclosure of Fund of Funds Expenses Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:College and University Facility Loan Trust One, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Cantor Fitzgerald & Company Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Compliance Programs of Investment Companies and Investment Advisers Type:Rulemaking Withdrawn: Last Updated:
Title:Disclosure by Funds Investing in Government Sponsored Enterprises, Letter to ICI Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Questions and Answers Regarding the Mutual Fund Customer Identification Program Rule Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Delayed Exchange of Fund Shares, Letter to ICI Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Frequently Asked Questions About Mutual Fund After-Tax Return Requirements Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Frequently Asked Questions about Rule 35d-1 (Investment Company Names) Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Calvert Social Index Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:2001 Mutual Fund Fee Report Type:Resources Withdrawn: Last Updated:
Title:2001 Mutual Fund Fee Report Type:Resources Withdrawn: Last Updated:
Title:Role of Independent Investment Company Directors Type:Resources Withdrawn: Last Updated:
Title:Form N-1A and Rule 498, Letter to the ICI Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Form N-1A and Rule 498, Letter to ICI Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:GE Funds Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Cornish & Carey Commercial Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Caxton Corporation Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Protecting Investors: A Half Century of Investment Company Regulation Type:Resources Withdrawn: Last Updated:

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:
Title:References to Ratings of Nationally Recognized Statistical Rating Organizations Type:Rulemaking Withdrawn: Last Updated:

Custody - Investment Adviser

Title
Type
Withdrawn
Last Updated
Title:Inadvertent Custody: Advisory Contract Versus Custodial Contract Authority Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Investment Adviser Association Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Robert Van Grover, Esq., Seward & Kissel LLP Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Investment Adviser Association Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:16th Amendment Advisors LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Private Funds and the Application of the Custody Rule to Special Purpose Vehicles and Escrows Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Robert Van Grover, Esq., Seward & Kissel LLP Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Privately Offered Securities under the Investment Advisers Act Custody Rule Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Regulation of Investment Advisers Type:Resources Withdrawn: Last Updated:
Title:Staff Responses to Questions About the Custody Rule Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Custody of Funds or Securities of Clients by Investment Advisers Type:Rulemaking Withdrawn: Last Updated:
Title:Deloitte & Touche LLP Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:ABA Subcommittee on Private Investment Entities Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:

Custody - Investment Company

Title
Type
Withdrawn
Last Updated
Title:Chicago Mercantile Exchange Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:ICE Clear Credit LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:LCH Limited and LCH.Clearnet LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Depository Trust Company of Delaware, LLC dba Delaware Depository Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Chicago Mercantile Exchange Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:ICE Clear Credit LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:LCH.Clearnet Limited and LCH.Clearnet LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Chicago Mercantile Exchange Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:ICE Clear Credit LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:LCH.Clearnet Limited and LCH.Clearnet LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:The Brink's Company Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Chicago Mercantile Exchange Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:ICE Clear Credit LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:LCH.Clearnet Limited and LCH.Clearnet LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Chicago Mercantile Exchange Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Chicago Mercantile Exchange Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Staff Responses to Questions About the Custody Rule Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Chicago Mercantile Exchange Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Chicago Mercantile Exchange Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Chicago Mercantile Exchange Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:CME Group, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:CME Group, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Franklin Templeton Investments Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Franklin Templeton Investments Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Fixed Income Clearing Corporation Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Custody of Investment Company Assets Outside the United States Type:Rulemaking Withdrawn: Last Updated:
Title:Chase Manhattan Bank Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Depository Clearing Company Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Bucharest Stock Exchange Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Eaton Vance South Asia Portfolio Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Financial Services Board Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:The Canadian Depository for Securities Limited Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:David S. Butterworth Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Custody of B Shares Trading on the Shenzhen and Shanghai Securities Exchanges Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:

Cybersecurity

Title
Type
Withdrawn
Last Updated
Title:Cybersecurity Guidance Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Cybersecurity Roundtable Type:Resources Withdrawn: Last Updated:

Derivatives

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

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:
Title:Capital Group Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Mutual Fund Distribution and Sub-Accounting Fees Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Rule 12b-1 Roundtable Type:Resources Withdrawn: Last Updated:
Title:Linsco/Private Ledger Corp. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Charles Schwab & Co. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Investment Management Division Report - Mutual Fund Distribution and Section 22(d) of the Investment Company Act (August 1974) Type:Resources Withdrawn: Last Updated:

Emergencies

Title
Type
Withdrawn
Last Updated
Title:Apply for GETS Cards Type:Resources Withdrawn: Last Updated:
Title:Alliance Funds Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:

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:
Title:American Retirement Association Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Invesco Advisers, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:ABA Retirement Funds Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Department of Labor Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:General Motors Investment Management Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Department of Labor Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Edward H. Fleischman Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:County of Los Angeles Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:

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:
Title:Tudor Employee Investment Fund LLC and Tudor Investment Corporation Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:BSC Employee Fund, L.P. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:

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:
Title:SPDR S&P Dividend ETF Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:SPDR Series Trust, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Merger of Two Exchange-Traded Funds Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Derivatives Use by Actively-Managed ETFs Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:

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:
Title:Staff Responses to Questions About the Family Office Rule Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Peter Adamson III Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Family Offices Type:Rulemaking Withdrawn: Last Updated:

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:
Title:Guidance Update: Form 13F Confidential Treatment Requests Based on a Claim of Ongoing Acquisition/Disposition Program Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Regulation of Investment Advisers Type:Resources Withdrawn: Last Updated:
Title:Rulemaking for EDGAR System Type:Rulemaking Withdrawn: Last Updated:
Title:Section 13(f) Confidential Treatment Requests Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Rulemaking for EDGAR System Type:Rulemaking Withdrawn: Last Updated:
Title:Request for Confidential Treatment Filed by Institutional Investment Managers Type:Rulemaking Withdrawn: Last Updated:
Title:Request for Confidential Treatment Filed by Institutional Investment Managers Type:Rulemaking Withdrawn: Last Updated:
Title:Request for Confidential Treatment Filed by Institutional Investment Managers Type:Rulemaking Withdrawn: Last Updated:
Title:Filing and Reporting Requirements Relating to Institutional Investment Managers Type:Rulemaking Withdrawn: Last Updated:
Title:Division of Investment Management's Interpretative Positions Relating to Rule 13f-1 and Related Form 13F Type:Rulemaking Withdrawn: Last Updated:
Title:Filing and Reporting Requirements Relating to Institutional lnvestment Managers Type:Rulemaking Withdrawn: Last Updated:
Title:Reporting by Institutional Investment Managers of Information with Respect to Accounts over Which Investment Discretion Is Exercised Type:Rulemaking Withdrawn: Last Updated:

Form ADV/Registration and Disclosure

Title
Type
Withdrawn
Last Updated
Title:Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation Type:Staff Guidance / FAQ Withdrawn: Last Updated:
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:
Title:(Staff Guidance Concerning Investment Adviser Reliance on Predecessor Registrations) Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Form ADV and Investment Advisers Act Rules Type:Rulemaking Withdrawn: Last Updated:
Title:Goldman, Sachs & Co. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Regulation of Investment Advisers Type:Resources Withdrawn: Last Updated:
Title:Rules Implementing Amendments to the Investment Advisers Act of 1940 Type:Rulemaking Withdrawn: Last Updated:
Title:Rules Under the Investment Advisers Act of 1940 Type:Resources Withdrawn: Last Updated:
Title:Amendments to Form ADV (Extension of Compliance Date) Type:Rulemaking Withdrawn: Last Updated:
Title:Amendments to Form ADV Type:Rulemaking Withdrawn: Last Updated:
Title:Technical Amendments to Form ADV Type:Rulemaking Withdrawn: Last Updated:
Title:Technical Amendments to Form ADV, Form ADV-W, Form ADV-H, Form ADV-E Type:Rulemaking Withdrawn: Last Updated:
Title:Exemption for Certain Investment Advisers Operating Through the Internet Type:Rulemaking Withdrawn: Last Updated:
Title:Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments Type:Rulemaking Withdrawn: Last Updated:
Title:Electronic Filing by Investment Advisers (Amendments to Form ADV) Type:Rulemaking Withdrawn: Last Updated:
Title:Amendments to Form ADV Type:Rulemaking Withdrawn: Last Updated:

Form N-1A/Registration and Disclosure

Title
Type
Withdrawn
Last Updated
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:
Title:Mutual Fund Fee Structures Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Fund Disclosure Reflecting Risks Related to Current Market Conditions Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Guidance Regarding Mutual Fund Enhanced Disclosure Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Fund Names Suggesting Protection From Loss Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Interactive Data for Mutual Fund Risk/Return Summary (Correction) Type:Rulemaking Withdrawn: Last Updated:
Title:Interactive Data for Mutual Fund Risk/Return Summary Type:Rulemaking Withdrawn: Last Updated:
Title:Enhanced Disclosure and New Prospectus Delivery Option For Registered Open-End Management Investment Companies Type:Rulemaking Withdrawn: Last Updated:
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:
Title:Disclosure of Breakpoint Discounts by Mutual Funds Type:Rulemaking Withdrawn: Last Updated:
Title:New Disclosure Option for Open-End Management Investment Companies Type:Rulemaking Withdrawn: Last Updated:
Title:Registration Form Used by Open-End Management Investment Companies (Form) Type:Rulemaking Withdrawn: Last Updated:
Title:Registration Form Used by Open-End Management Investment Companies (Rule) Type:Rulemaking Withdrawn: Last Updated:
Title:Plain English Disclosure Type:Rulemaking Withdrawn: Last Updated:
Title:Eaton Vance Master Portfolio Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Frank Russell Investment Management Company Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:

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:
Title:Fund Names Suggesting Protection From Loss Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Aberdeen Asia-Pacific Income Fund, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Credit Suisse High Yield Bond Fund and Credit Suisse Asset Management Income Fund, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Eaton Vance, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:First Trust, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:John Hancock Investors Trust and John Hancock Tax-Advantaged Global Shareholder Yield Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:NexPoint Credit Strategies Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Nuveen, et al Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Energy Income and Growth Fund and First Trust Active Dividend Income Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:

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:
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:

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:

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:
Title:Small Entity Compliance Guide Type:Rulemaking Withdrawn: Last Updated:
Title:Investment Company Reporting Modernization Type:Rulemaking Withdrawn: Last Updated:

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:
Title:College and University Facility Loan Trust One, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:

Form N-PORT

Title
Type
Withdrawn
Last Updated
Title:Investment Company Reporting Modernization Frequently Asked Questions Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Investment Company Liquidity Risk Management Programs Frequently Asked Questions Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Small Entity Compliance Guide Type:Rulemaking Withdrawn: Last Updated:
Title:Investment Company Reporting Modernization Type:Rulemaking Withdrawn: Last Updated:

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:

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:
Title:Money Market Fund Reform; Amendments to Form PF Type:Rulemaking Withdrawn: Last Updated:
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:

Fund Governance

Title
Type
Withdrawn
Last Updated
Title:Investment Company Governance Type:Rulemaking Withdrawn: Last Updated:
Title:Adams Express Company Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:

Fund Mergers

Title
Type
Withdrawn
Last Updated
Title:Merger of Two Exchange-Traded Funds Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Fifth Street Finance Corp. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Franklin Templeton Investments Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
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:
Title:Allstate Life Insurance Company Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Investment Company Mergers Type:Rulemaking Withdrawn: Last Updated:
Title:The Eaton Vance Group of Investment Companies Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Equitable Life Assurance Society Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:

Fund of Funds

Title
Type
Withdrawn
Last Updated
Title:Fund of Funds - Direct Investment Type:Exemptive Applications Withdrawn: Last Updated:
Title:Fund of Funds - Multi-Group Type:Exemptive Applications Withdrawn: Last Updated:
Title:Dechert LLP Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Dechert Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Thrivent Financial for Lutherans and Thrivent Asset Management, LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Northern Lights Fund Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Franklin Templeton Investments Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:New Mountain Finance Corporation Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Staff Responses to Questions Regarding Disclosure of Fund of Funds Expenses Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Fund of Funds Investments Type:Rulemaking Withdrawn: Last Updated:

Ineligible/Disqualified Firms

Title
Type
Withdrawn
Last Updated
Title:Exemptive Applications Type:Exemptive Applications Withdrawn: Last Updated:

Insured Investments

Title
Type
Withdrawn
Last Updated
Title:Insurance Products - Bonus Recapture Type:Exemptive Applications Withdrawn: Last Updated:
Title:Insurance Products - Exchange Offer Type:Exemptive Applications Withdrawn: Last Updated:
Title:Insurance Products - Fund Substitution Type:Exemptive Applications Withdrawn: Last Updated:
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:
Title:Jackson National Life Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Guidance Regarding Mixed and Shared Funding Orders Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Auditing Standards for Financial Statements of Insurance Company Depositors of Variable Insurance Products, Staff Letters Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Acacia National Life Insurance Company Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Allstate Life Insurance Company Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Aid Association for Lutherans/Lutheran Brotherhood Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:AIG Life Insurance Company - American International Life Assurance Company of New York Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:AIG Life Insurance Company Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Retail Exception to Section 11, Letter to NAVA Type:Staff Guidance / Other Withdrawn: Last Updated:

International

Title
Type
Withdrawn
Last Updated
Title:(Information Update for Advisers Relying on the Unibanco No-Action Letters) Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Dechert LLP Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Royal Dutch Shell plc Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Erste Abwicklungsanstalt Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Foxby Corp. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Allianz of America, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Dechert LLP Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Fortis Group, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Franklin Templeton Investments Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Dexia Municipal Agency Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:ABA Subcommittee on Private Investment Entities Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:France Growth Fund, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Fixed Income Clearing Corporation Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:France Growth Fund, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Fidelity Advisor Korea Fund, Inc Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Goodwin, Procter & Hoar Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Chase Manhattan Bank Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Depository Clearing Company Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Five Arrows Short-Term Investment Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:ABN AMRO Bank N.V. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Bucharest Stock Exchange Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Eaton Vance South Asia Portfolio Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Goodwin, Procter & Hoar Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Financial Services Board Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Mark A. Bush Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Fiduciary Trust Global Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:ESI S.A. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:The Canadian Depository for Securities Limited Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Custody of B Shares Trading on the Shenzhen and Shanghai Securities Exchanges Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Alliance Capital Management L.P. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:

Investment Advisers - General

Title
Type
Withdrawn
Last Updated
Title:Securities Industry and Financial Markets Association Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation Type:Staff Guidance / FAQ Withdrawn: Last Updated:
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:
Title:Small Entity Compliance Guide Type:Rulemaking Withdrawn: Last Updated:
Title:Securities Industry and Financial Markets Association Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Innovator Capital Management, LLC, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Frequently Asked Questions on Form ADV and IARD Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Nuveen Fund Advisors, LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Frequently Asked Questions about 13F Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:IM Guidance Update (Robo-Advisers) Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:(Staff Guidance Concerning Investment Adviser Reliance on Predecessor Registrations) Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Neuberger Berman Investment Advisers LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Form ADV and Investment Advisers Act Rules Type:Rulemaking Withdrawn: Last Updated:
Title:Small Entity Compliance Guide Type:Rulemaking Withdrawn: Last Updated:
Title:Adviser Business Continuity and Transition Plans Type:Rulemaking Withdrawn: Last Updated:
Title:Code of Ethics Guidance for Investment Advisers Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Cybersecurity Guidance Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Jonathon Hendricks Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Staff Legal Bulletin: Proxy Voting Responsibilities of Investment Advisers Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:MEAG MUNICH ERGO. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Frequently Asked Questions on Form PF Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Risk Management in Changing Fixed Income Market Conditions Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:RBS Securities, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Wells Fargo Bank, N.A. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Goldman, Sachs & Co. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Compliance With Exemptive Order Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Identity Theft Red Flags Type:Rulemaking Withdrawn: Last Updated:
Title:Regulation of Investment Advisers Type:Resources Withdrawn: Last Updated:
Title:Emerging Global Advisors, LLC and EGA Emerging Global Shares Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Investment Advisers Registered with the Commodity Futures Trading Commission (CFTC) that Advise Private Funds Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Dodd-Frank Act Changes to Investment Adviser Registration Requirements Type:Resources Withdrawn: Last Updated:
Title:Staff Responses to Questions About the Pay to Play Rule Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Advisory Contracts - Consent Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Political Contributions by Investment Advisers (Pay to Play Rule) Type:Rulemaking Withdrawn: Last Updated:
Title:Staff Responses to Questions About the Family Office Rule Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Regulation of Investment Advisers: Outline and Staff Views Type:Resources Withdrawn: Last Updated:
Title:Advisory Contracts - Transition for Newly Registered and Registering Advisers Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Persons Who Provide Advice Solely Regarding Matters Not Concerning Securities Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:GE Funding Capital Market Services, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Staff Responses to Questions About the Custody Rule Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Reporting by Investment Advisers to Private Funds (Form PF) Type:Rulemaking Withdrawn: Last Updated:
Title:Frequently Asked Questions Regarding Mid-Sized Advisers Type:Staff Guidance / FAQ Withdrawn: Last Updated:
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:
Title:Dodd-Frank Implementing Release (Registration of Private Fund Advisers, Reallocation of Mid-Sized Advisers) Type:Rulemaking Withdrawn: Last Updated:
Title:Family Offices Type:Rulemaking Withdrawn: Last Updated:
Title:Rules Implementing Amendments to the Investment Advisers Act of 1940 Type:Rulemaking Withdrawn: Last Updated:
Title:Rules Under the Investment Advisers Act of 1940 Type:Resources Withdrawn: Last Updated:
Title:Staff Responses to Questions About Part 2 of Form ADV Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Information for Newly-Registered Investment Advisers Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Information for Newly Registered Advisers Type:Resources Withdrawn: Last Updated:
Title:Citigroup Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:General Electric Company Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Amendments to Form ADV Type:Rulemaking Withdrawn: Last Updated:
Title:Goldman, Sachs & Co. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Claymore Advisors, LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Fifth Street Finance Corp. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Custody of Funds or Securities of Clients by Investment Advisers (Custody Rule) Type:Rulemaking Withdrawn: Last Updated:
Title:General Electric Company Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Deutsche Bank Securities Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:E*Trade Capital Markets LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Fortis Group, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Citigroup Global Markets, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:First Trust/Gallatin Specialty Finance and Financial Opportunities Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Technical Amendments to Form ADV Type:Rulemaking Withdrawn: Last Updated:
Title:Emanuel J. Friedman and EJF Capital LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Citigroup Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Gardner Russo & Gardner Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Evergreen Investment Management Company LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Credit Suisse First Boston, LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:CIBC Mellon Trust Company Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Goldman, Sachs & Co. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Deutsche Bank Securities Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Compliance Programs of Investment Companies and Investment Advisers Type:Rulemaking Withdrawn: Last Updated:
Title:Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
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:
Title:Goldman, Sachs & Company Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Dougherty & Company LCC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Fahnestock & Company Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Dougherty & Company LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Constellation Financial Management LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Evergreen Investment Management Company, LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Investment Adviser Regulatory Issues Type:Resources Withdrawn: Last Updated:
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:
Title:Amendments to Form ADV Type:Rulemaking Withdrawn: Last Updated:
Title:Franklin Management, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:DALBAR, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:GE Funds Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:First Call Corporation Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Mark A. Bush Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:George Colman Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:California Municipal Cash Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Dana Investment Advisors, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:The Capitol Mutual Funds and Nations Fund Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:

JOBS Act

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

Money Market Funds

Title
Type
Withdrawn
Last Updated
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:
Title:Money Market Fund Reform; Amendments to Form PF Type:Rulemaking Withdrawn: Last Updated:
Title:Staff Responses to Questions About Money Market Fund Reform Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Tri-Party Repos - Counterparty Risk Management Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Staff Responses to Questions about Rule 30b1-7 and Form N-MFP Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Money Market Funds and Systemic Risk Roundtable Type:Resources Withdrawn: Last Updated:
Title:Staff Responses to Questions about Information Filed on Form N-MFP Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Money Market Fund Reform Type:Rulemaking Withdrawn: Last Updated:
Title:SEC Release Adopting Form N-MFP Type:Rulemaking Withdrawn: Last Updated:
Title:Disclosure of Certain Money Market Fund Portfolio Holdings Type:Rulemaking Withdrawn: Last Updated:
Title:Dechert LLP Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Allianz Funds Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Citigroup Global Markets, Inc Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:College Retirement Equities Fund (CREF) Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Columbia Funds Series Trust - Columbia Cash Reserves Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Columbia Funds Series Trust - Columbia Money Market Reserves Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Columbia Funds Series Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Advantus Series Fund Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Dreyfus Cash Management Plus Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Dreyfus Money Funds Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Dreyfus Money Funds Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
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:
Title:Dreyfus Cash Management, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Eaton Vance Management Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:EIF Neptune, LLC Starwood Energy Investors, LLC & Atlantic Energy Parts Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:AAL Mutual Funds, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities Type:Rulemaking Withdrawn: Last Updated:
Title:Five Arrows Short-Term Investment Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Charles Schwab & Co., Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:ACM Institutional Reserves, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Alliance Municipal Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:California Municipal Cash Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Adam W. Glass Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:CBA Money Fund, et al. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Donaldson, Lufkin & Jenrette Securities Corporation Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Sean J. Egan Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:

Mortgages/Real Estate/REITs

Title
Type
Withdrawn
Last Updated
Title:Redwood Trust, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Great Ajax Funding LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Redwood Trust, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments Type:Resources Withdrawn: Last Updated:
Title:Exclusion From the Definition of Investment Company for Certain Structured Financings Type:Rulemaking Withdrawn: Last Updated:
Title:Exclusion From the Definition of Investment Company for Certain Structured Financings Type:Rulemaking Withdrawn: Last Updated:
Title:Protecting Investors: A Half Century of Investment Company Regulation, Chapter 1 Type:Resources Withdrawn: Last Updated:
Title:Greenwich Capital Acceptance Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:NAB Asset Corp. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Citytrust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:United States Property Investment N.V. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:United Bankers Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:M.D.C. Holdings Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:The State Street Mortgage Co. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:First National Bank of Fremont Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Salomon Brothers, Inc. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Health Facility Credit Corp. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Baton Rouge Building and Construction Industry Foundation Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Northwestern Ohio Building and Construction Trades Foundation Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Nottingham Realty Securities Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Realex Capital Corporation Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:American Home Finance Corp. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:MGIC Mortgage Corp. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:MGIC Mortgage Corp. Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Urban Land Investments Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Real Estate Investment Trusts Type:Resources Withdrawn: Last Updated:

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:
Title:Regulation of Investment Advisers Type:Resources Withdrawn: Last Updated:
Title:Staff Responses to Questions About the Pay to Play Rule Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation Type:Rulemaking Withdrawn: Last Updated:
Title:Technical Amendment to Rule 206(4)-5: Political Contributions by Certain Investment Advisers Type:Rulemaking Withdrawn: Last Updated:
Title:Political Contributions by Certain Investment Advisers Type:Rulemaking Withdrawn: Last Updated:

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:
Title:Morgan Stanley Mortgage Securities Trust Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Frequently Asked Questions about Rule 35d-1 (Investment Company Names) Type:Staff Guidance / FAQ Withdrawn: Last Updated:

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:
Title:Small Entity Compliance Guide Type:Rulemaking Withdrawn: Last Updated:
Title:Investment Company Liquidity Risk Management Programs Type:Rulemaking Withdrawn: Last Updated:
Title:Fund Names Suggesting Protection From Loss Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Frequently Asked Questions about Rule 35d-1 (Investment Company Names) Type:Staff Guidance / FAQ Withdrawn: Last Updated:

Privacy/Identity Theft

Title
Type
Withdrawn
Last Updated
Title:Cybersecurity Guidance Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Identity Theft Red Flags Rules Type:Rulemaking Withdrawn: Last Updated:
Title:Regulation of Investment Advisers Type:Resources Withdrawn: Last Updated:
Title:Final Model Privacy Form under the Gramm-Leach-Bliley Act Type:Rulemaking Withdrawn: Last Updated:
Title:Regulation S-AM: Limitations on Affiliate Marketing Type:Rulemaking Withdrawn: Last Updated:
Title:Report Issued on Improving Financial Privacy Notices for Consumers Type:Resources Withdrawn: Last Updated:
Title:Staff Responses to Questions about Regulation S-P Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Privacy of Consumer Financial Information (Regulation S-P) Type:Rulemaking Withdrawn: Last Updated:

Private Fund Advisers

Title
Type
Withdrawn
Last Updated
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:
Title:Form ADV and Investment Advisers Act Rules Type:Rulemaking Withdrawn: Last Updated:
Title:Guidance on FAST Act Changes to Advisers Act Affecting Advisers to SBICs Type:Staff Guidance / Other Withdrawn: Last Updated:
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:
Title:Cybersecurity Guidance Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:16th Amendment Advisors LLC Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Private Funds and the Application of the Custody Rule to Special Purpose Vehicles and Escrows Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Frequently Asked Questions on Form PF Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Managed Funds Association Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Guidance on the Exemption for Advisers to Venture Capital Funds Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Privately Offered Securities under the Investment Advisers Act Custody Rule Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Status of Certain Private Fund Investors as Qualified Clients Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Staff Responses to Questions About the Custody Rule Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Type:Rulemaking Withdrawn: Last Updated:
Title:Investment Advisers Registered with the Commodity Futures Trading Commission (CFTC) that Advise Private Funds Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Dodd-Frank Act Changes to Investment Adviser Registration Requirements Type:Resources Withdrawn: Last Updated:
Title:Staff Responses to Questions About the Pay to Play Rule Type:Staff Guidance / Other Withdrawn: Last Updated:
Title:Political Contributions by Investment Advisers (Pay to Play Rule) Type:Rulemaking Withdrawn: Last Updated:
Title:Net Worth Standard for Accredited Investors (technical amendment) Type:Rulemaking Withdrawn: Last Updated:
Title:Investment Adviser Performance Compensation Type:Rulemaking Withdrawn: Last Updated:
Title:American Bar Association, Business Law Section Type:Staff Guidance / No-Action and Interpretive Letters Withdrawn: Last Updated:
Title:Net Worth Standard for Accredited Investors Type:Rulemaking Withdrawn: Last Updated:
Title:Frequently Asked Questions Regarding Mid-Sized Advisers Type:Staff Guidance / FAQ Withdrawn: Last Updated:
Title:Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers Type:Rulemaking Withdrawn: Last Updated:
Title:Rules Implementing Amendments to the Investment Advisers Act of 1940 Type:Rulemaking Withdrawn: Last Updated:
Title:Amendments to Form ADV Type:Rulemaking Withdrawn: Last Updated:
Title:Custody of Funds or Securities of Clients by Investment Advisers (Custody Rule) Type:Rulemaking Withdrawn: Last Updated:
Title:Technical Amendments to Form ADV Type:Rulemaking Withdrawn: Last Updated:
Title:Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles Type:Rulemaking W