View news from the Division of Investment Management.

Date
Title
Date: Title: Announcement Regarding Pending Registration Statements and Offering Statements
Date: Title: IM No Action Letters (Permission Granted Pursuant Regulation S-X Rule 3-13 for Certain Non-Variable Insurance Products) (PDF)
Date: Title: Money Market Fund Statistics- Supporting Data, August 2023 (XLSX)
Date: Title: Money Market Fund Statistics, August 2023 (PDF)
Date: Title: IM No Action Letters (Permission Granted Pursuant Regulation S-X Rule 3-13 for Certain Non-Variable Insurance Products) (PDF)
Date: Title: Money Market Fund Statistics- Supporting Data, July 2023 (XLSX)
Date: Title: Money Market Fund Statistics, July 2023 (PDF)
Date: Title: Money Market Fund Statistics- Supporting Data, June 2023 (XLSX)
Date: Title: Money Market Fund Statistics, June 2023 (PDF)
Date: Title: Money Market Fund Statistics- Supporting Data, May 2023
Date: Title: Money Market Fund Statistics, May 2023 (PDF)
Date: Title: IM Information Update (Expedited Review of Applications & Automatic Withdrawal) (PDF)
Date: Title: Money Market Fund Statistics- Supporting Data, April 2023 (XLSX)
Date: Title: Money Market Fund Statistics, April 2023 (PDF)
Date: Title: Money Market Fund Statistics- Supporting Data, March 2023 (XLSX)
Date: Title: Money Market Fund Statistics, March 2023 (PDF)
Date: Title: Staff statement regarding the risk legend used by non-transparent exchange-traded funds operating in reliance of an exemptive order under the Investment Company Act of 1940
Date: Title: Money Market Fund Statistics- Supporting Data, February 2023 (XLSX)
Date: Title: Money Market Fund Statistics, February 2023 (PDF)
Date: Title: Differential Advisory Fee Waivers
Date: Title: Money Market Fund Statistics- Supporting Data, December 2022 (XLSX)
Date: Title: Money Market Fund Statistics, December 2022 (PDF)
Date: Title: Marketing Compliance Frequently Asked Questions
Date: Title: Money Market Fund Statistics- Supporting Data, November 2022 (XLSX)
Date: Title: Money Market Fund Statistics, November 2022 (PDF)
Date: Title: Money Market Fund Statistics- Supporting Data, October 2022 (XLSX)
Date: Title: Money Market Fund Statistics, October 2022 (PDF)
Date: Title: IM No Action Letters (Permission Granted Pursuant Regulation S-X Rule 3-13 for Certain Non-Variable Insurance Products) (PDF)
Date: Title: Money Market Fund Statistics- Supporting Data, September 2022 (XLSX)
Date: Title: Money Market Fund Statistics, September 2022 (PDF)
Date: Title: Money Market Fund Statistics- Supporting Data, August 2022 (XLSX)
Date: Title: Money Market Fund Statistics, August 2022 (PDF)
Date: Title: IM Staff Releases an Analysis of Money Market Funds in the Treasury Market (PDF)
Date: Title: ADI 2022-12 – SEC Yield for Funds That Invest Significantly in TIPS[1]
Date: Title: Money Market Fund Statistics- Supporting Data, July 2022 (XLSX)
Date: Title: Money Market Fund Statistics, July 2022 (PDF)
Date: Title: Money Market Fund Statistics- Supporting Data, June 2022 (XLSX)
Date: Title: Money Market Fund Statistics, June 2022 (PDF)
Date: Title: IM Staff Releases an Analysis of Prime Money Market Fund Asset Composition and Sales (PDF)
Date: Title: Money Market Fund Statistics- Supporting Data, May 2022 (XLSX)
Date: Title: Money Market Fund Statistics, May 2022 (PDF)
Date: Title: Money Market Fund Statistics- Supporting Data, April 2022 (XLSX)
Date: Title: Money Market Fund Statistics, April 2022 (PDF)
Date: Title: Money Market Fund Statistics- Supporting Data, March 2022 (XLSX)
Date: Title: Money Market Fund Statistics, March 2022 (PDF)
Date: Title: Money Market Fund Statistics, February 2022 (PDF)
Date: Title: Money Market Fund Statistics- Supporting Data, February 2022 (XLSX)
Date: Title: Money Market Fund Statistics- Supporting Data, January 2022 (XLSX)
Date: Title: Money Market Fund Statistics, January 2022 (PDF)
Date: Title: Derivatives Rule: Updated Reporting Forms Available for Fund Filers
Date: Title: Money Market Fund Statistics- Supporting Data, December 2021 (XLSX)
Date: Title: Money Market Fund Statistics, December 2021 (PDF)
Date: Title: Money Market Fund Statistics, November 2021 (PDF)
Date: Title: Money Market Fund Statistics, October 2021 (PDF)
Date: Title: Money Market Fund Statistics, September 2021 (PDF)
Date: Title: Money Market Fund Statistics, August 2021 (PDF)
Date: Title: Money Market Fund Statistics, July 2021 (PDF)
Date: Title: Midland National Life Insurance Company (PDF)
Date: Title: IM Staff Releases an Analysis of Prime Money Market Fund Liquidity Buffers (PDF)
Date: Title: Money Market Fund Statistics, June 2021 (PDF)
Date: Title: Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205 3 under the Investment Advisers Act of 1940 (PDF)
Date: Title: SEC, NASAA, and FINRA Offer Free Resource to Securities Firms to Assist in Detection, Prevention and Reporting of Financial Exploitation of Seniors
Date: Title: Money Market Fund Statistics, May 2021 (PDF)
Date: Title: Money Market Fund Statistics, April 2021 (PDF)
Date: Title: Staff Statement on Funds Registered Under the Investment Company Act Investing in the Bitcoin Futures Market
Date: Title: Investment Company Reporting Modernization Frequently Asked Questions
Date: Title: Money Market Fund Statistics, March 2021 (PDF)
Date: Title: IM Staff Releases an Analysis of Prime Money Market Funds at the Onset of the Pandemic (PDF)
Date: Title: Division of Investment Management Staff Statement Regarding Termination Notice for Exemptive Relief and Withdrawal of Staff Letters Related to COVID-19 Response
Date: Title: Accounting Matters Bibliography
Date: Title: From the Chief Accountant, Letter to CFOs (PDF)
Date: Title: Money Market Fund Statistics, February 2021 (PDF)
Date: Title: Staff Statement on Investment Company Cross Trading
Date: Title: Staff Letter (No-Action relief under sections 202(a)(30), 203(b)(3), and Rule 202(a)(30)-1 of the Investment Advisers Act of 1940)
Date: Title: IM Staff Releases a Primer on Money Market Funds and the Repo Market (PDF)
Date: Title: Money Market Fund Statistics, January 2021 (PDF)
Date: Title: Staff Letter (No action Relief Under Rule 14a-8)
Date: Title: Money Market Fund Statistics, December 2020 (PDF)
Date: Title: Staff Letter (No-Action Relief under Section 17(f) of the Investment Company Act of 1940 and Rule 17f-2 thereunder)
Date: Title: Money Market Fund Statistics, November 2020 - Corrected (PDF)
Date: Title: ADI 2020-11 Registered Funds’ Risk Disclosure Regarding Investments in Emerging Markets
Date: Title: SEC Staff Supplements Quarterly Private Funds Statistics
Date: Title: Staff Statement Regarding Rule 302(b) of Regulation S-T in Light of COVID-19 Concerns
Date: Title: Money Market Fund Statistics, October 2020 - Corrected (PDF)
Date: Title: Division of Investment Management Staff Statement Regarding New Web Intake Form for No-Action and Interpretive Letter Requests (PDF)
Date: Title: Keynote Address: ALI CLE 2020 Conference on Life Insurance Company Products
Date: Title: Primer: Money Market Funds and the Commercial Paper Market (PDF)
Date: Title: Staff Statement on WY Division of Banking’s “NAL on Custody of Digital Assets and Qualified Custodian Status”
Date: Title: IM No Action Letters (Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products) (PDF)
Date: Title: From the Chief Accountant, Letter to CFOs (PDF)
Date: Title: Money Market Fund Statistics, September 2020 (PDF)
Date: Title: Money Market Fund Statistics, August 2020 (PDF)
Date: Title: Money Market Fund Statistics, July 2020 (PDF)
Date: Title: Money Market Fund Statistics, June 2020 (PDF)
Date: Title: Staff Statement Regarding Temporary International Mail Service Suspensions to Certain Jurisdictions Related to the COVID-19 Pandemic
Date: Title: Money Market Fund Statistics, May 2020 (PDF)
Date: Title: Staff Letter (No-action relief pursuant to Rule 14a-8 under the Securities Exchange Act of 1934)
Date: Title: IM No Action Letters (Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products) (PDF)
Date: Title: Staff Statement on Control Share Acquisition Statutes
Date: Title: Money Market Fund Statistics, April 2020 (PDF)
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