SEC.gov | Investment Management

Date	Title
Date: May 27, 2020	Title: Staff Statement on Control Share Acquisition Statutes
Date: May 27, 2020	Title: Money Market Fund Statistics, April 2020 (PDF)
Date: May 27, 2020	Title: Staff Letter (No-Action relief under certain provisions of the Investment Company Act of 1940 related to participation in the 2020 Term Asset-Backed Securities Loan Facility)
Date: May 26, 2020	Title: Division of Investment Management’s Chief Accountant is Seeking Candidates for 2020 Professional Accounting Fellow Position
Date: May 11, 2020	Title: Staff Letter (No-Action relief under Section 12(d(3) of the Investment Company Act of 1940)
Date: April 27, 2020	Title: Money Market Fund Statistics, March 2020 (PDF)
Date: April 22, 2020	Title: EDGAR Filing Window Extension on April 29, 2020 for Registered Investment Companies and Business Development Companies
Date: April 22, 2020	Title: ADI 2020-10 - Filing and Delivery Obligations for Certain Discontinued Variable Insurance Contracts
Date: April 21, 2020	Title: IM No Action Letter (Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products) (PDF)
Date: April 14, 2020	Title: Division of Investment Management Coronavirus (COVID-19) Response FAQs
Date: April 14, 2020	Title: Importance of Delivering Timely and Material Information to Investment Company Investors
Date: April 9, 2020	Title: Division of Investment Management Staff Statement Regarding Withdrawal of Staff Letters Related to Securities Offering Reform for Closed-End Investment Companies Rulemaking (PDF)
Date: April 8, 2020	Title: IM Information Update (Statement on Hearing Requests on Applications Filed Under the Investment Company Act of 1940 and Investment Advisers Act of 1940) (PDF)
Date: March 26, 2020	Title: Staff No Action Letter: Affiliated Purchases of Debt Securities under Section 17(a) of the Investment Company Act
Date: March 23, 2020	Title: Money Market Fund Statistics, February 2020 (PDF)
Date: March 19, 2020	Title: Staff Letter (No-Action relief under section 17(a) and rule 17a-9 of the Investment Company Act of 1940)
Date: March 13, 2020	Title: Division of Investment Management Staff Statement Regarding New Resource for Modified or Withdrawn Staff Statements (PDF)
Date: March 13, 2020	Title: Division of Investment Management Staff Statement Regarding Withdrawal of Staff Letters Related to Updated Disclosure Requirements and Summary Prospectus for Variable Annuity And Variable Life Insurance Contracts Rulemaking (PDF)
Date: March 13, 2020	Title: Division of Investment Management Operating Status
Date: March 10, 2020	Title: Viktoria Baklanova Named Senior Financial Analyst, Analytics Office
Date: March 4, 2020	Title: Staff Statement on Fund Board Meetings and Unforeseen or Emergency Circumstances Related to Coronavirus Disease 2019 (COVID-19)
Date: March 3, 2020	Title: Staff Letter (No-Action relief under Sections 5(b) and 6(b) of the Securities Act of 1933 and Rule 486(b) thereunder)
Date: Feb. 25, 2020	Title: Money Market Fund Statistics, January 2020 (PDF)
Date: Jan. 30, 2020	Title: Staff Letter (No-action relief pursuant to Rule 14a-8 under the Securities Exchange Act of 1934)
Date: Jan. 30, 2020	Title: Staff Letter (No-action relief pursuant to Rule 14a-8 under the Securities Exchange Act of 1934)
Date: Jan. 30, 2020	Title: Staff Letter (No-action relief pursuant to Rule 14a-8 under the Securities Exchange Act of 1934)
Date: Jan. 30, 2020	Title: Staff Letter (No-action relief pursuant to Rule 14a-8 under the Securities Exchange Act of 1934)
Date: Jan. 30, 2020	Title: Staff Letter (No-action relief pursuant to Rule 14a-8 under the Securities Exchange Act of 1934)
Date: Jan. 30, 2020	Title: Staff Letter (No-action relief pursuant to Rule 14a-8 under the Securities Exchange Act of 1934)
Date: Jan. 30, 2020	Title: Staff Letter (No-action relief pursuant to Rule 14a-8 under the Securities Exchange Act of 1934)
Date: Jan. 30, 2020	Title: Staff Letter (No-action relief pursuant to Rule 14a-8 under the Securities Exchange Act of 1934)
Date: Jan. 29, 2020	Title: Money Market Fund Statistics, December 2019 (PDF)
Date: Jan. 9, 2020	Title: SEC Issues Agenda for Inaugural Meeting of the Asset Management Advisory Committee
Date: Dec. 16, 2019	Title: Staff Letter (No-Action relief under Sections 5(b) and 6(b) of the Securities Act of 1933 and Rule 486(b) thereunder)
Date: Dec. 11, 2019	Title: Staff Letter (Investment Advisers Act of 1940 - Section 206(4) and Rule 206(4)-2)
Date: Dec. 6, 2019	Title: Money Market Fund Statistics, October 2019 (PDF)
Date: Dec. 5, 2019	Title: Staff Letter (No-Action relief under Sections 23(c) and 63 of the Investment Company Act of 1940, and Rule 23c-2 thereunder)
Date: Dec. 3, 2019	Title: Keynote Address — 2019 ICI Securities Law Developments Conference
Date: Dec. 3, 2019	Title: Remarks to the Greater Cincinnati Mutual Fund Association
Date: Nov. 26, 2019	Title: Frequently Asked Questions on Form CRS
Date: Nov. 22, 2019	Title: From the Chief Accountant, Letter to CFOs (PDF)
Date: Nov. 22, 2019	Title: Accounting Matters Bibliography
Date: Nov. 7, 2019	Title: Keynote Address - ALI CLE 2019 Conference on Life Insurance Company Products
Date: Nov. 4, 2019	Title: Staff Letter (No-Action relief under section 202(a)(11) of the Investment Advisers Act of 1940)
Date: Oct. 21, 2019	Title: Money Market Fund Statistics, September 2019 (PDF)
Date: Oct. 18, 2019	Title: Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation
Date: Oct. 17, 2019	Title: No Action Letter (Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products) (PDF)
Date: Oct. 17, 2019	Title: No Action Letter (Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products) (PDF)
Date: Oct. 17, 2019	Title: Staff Responses to Inquiries Regarding Business Development Companies and Section 61(a) of the Investment Company Act of 1940
Date: Oct. 2, 2019	Title: Money Market Fund Statistics, August 2019 (PDF)
Date: Oct. 2, 2019	Title: ADI 2019-09 - Performance and Fee Issues
Date: Sept. 9, 2019	Title: ADI 2019-08 - Improving Principal Risks Disclosure
Date: Sept. 5, 2019	Title: Joshua Weinberg Named Senior Special Counsel, Analytics Office
Date: Aug. 20, 2019	Title: Money Market Fund Statistics, July 2019 (PDF)
Date: Aug. 15, 2019	Title: Staff Letter (No-Action relief with respect to the treatment of certain assets for purposes of relying on Section 3(c)(5)(C))
Date: Aug. 12, 2019	Title: Staff Letter (No-Action relief under Section 7 of the Investment Company Act of 1940)
Date: Aug. 8, 2019	Title: IM No Action Letters (Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products) (PDF)
Date: Aug. 6, 2019	Title: Staff Letter (No-Action relief under Sections 5(b) and 6(b) of the Securities Act of 1933 and Rule 486(b) thereunder)
Date: Aug. 6, 2019	Title: Staff Letter (No-Action relief under Sections 5(b) and 6(b) of the Securities Act of 1933 and Rule 486(b) thereunder)
Date: July 23, 2019	Title: Money Market Fund Statistics, June 2019 (PDF)
Date: July 9, 2019	Title: Staff Letter (No-Action relief under Section 15(a) of the Investment Company Act)
Date: June 24, 2019	Title: Staff Letter (No-Action relief under Section 205(b)(3) of the Investment Advisers Act of 1940)
Date: June 24, 2019	Title: Staff Letter No-Action relief under Sections 5(b), 13(a)(1) and 34(b) of the Investment Company Act of 1940
Date: June 21, 2019	Title: Investment Company Reporting Modernization Frequently Asked Questions
Date: June 19, 2019	Title: Money Market Fund Statistics, May 2019 (PDF)
Date: June 18, 2019	Title: Division of Investment Management’s Chief Accountant is Seeking Candidates for 2019 Professional Accounting Fellow Position
Date: May 21, 2019	Title: Money Market Fund Statistics, April 2019 (PDF)
Date: April 26, 2019	Title: Staff Letter (No-Action relief under Sections 5(b) and 6(b) of the Securities Act of 1933 and Rule 486(b) thereunder)
Date: April 22, 2019	Title: Money Market Fund Statistics, March 2019 (PDF)
Date: April 15, 2019	Title: Staff Letter (No-action relief under Section 15(a) of the Investment Company Act of 1940)
Date: April 15, 2019	Title: Money Market Fund Statistics, February 2019 (PDF)
Date: April 8, 2019	Title: Staff Letter (No-Action relief under Sections 5(b) and 6(b) of the Securities Act of 1933 and Rule 486(b) thereunder)
Date: April 2, 2019	Title: ADI 2019-07 – Review of Certain Filings Under Automatic Effectiveness Rules
Date: March 25, 2019	Title: Staff Letter No-Action relief under Section 3(c)(11) of the Investment Company Act of 1940, Section 3(a)(2) of the Securities Act of 1933 and Section 12(g)(2)(H) of the Securities Exchange Act of 1934.
Date: March 21, 2019	Title: Remarks – PLI Investment Management Institute 2019
Date: March 21, 2019	Title: Staff Letter (No-Action Relief Under Section 206(4) and Rule 206(4)-3)
Date: March 18, 2019	Title: Keynote Address: ICI Mutual Funds and Investment Management Conference
Date: March 18, 2019	Title: IM No Action Letters (Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products)
Date: March 12, 2019	Title: Engaging on Non-DVP Custodial Practices and Digital Assets
Date: Feb. 28, 2019	Title: Staff Letter No-Action relief under [Sections 12(b), 15(c) and 32(a) of the Investment Company Act of 1940 and Rules 12b-1 and 15a-4(b)(2) under the Investment Company Act of 1940]
Date: Feb. 15, 2019	Title: Money Market Fund Statistics, January 2019 (PDF)
Date: Feb. 5, 2019	Title: Money Market Fund Statistics, December 2018 (PDF)
Date: Feb. 1, 2019	Title: IM Information Update (Website Updates to Investment Company Forms ) (PDF)
Date: Jan. 30, 2019	Title: PIMCO Income Strategy Fund and PIMCO Income Strategy Fund II
Date: Dec. 20, 2018	Title: Staff Letter No-Action relief under Section 206(4) and Rule 206(4)-2 under the Investment Advisers Act of 1940
Date: Nov. 8, 2018	Title: Keynote Address: ALI CLE 2018 Conference on Life Insurance Company Products
Date: Nov. 5, 2018	Title: Staff Letter (No-Action relief under Section 203(a) of the Investment Advisers Act of 1940)
Date: Oct. 29, 2018	Title: Staff Letter (No-Action relief under Sections 5(b) and 6(b) of the Securities Act of 1933 and Rule 486(b) thereunder)
Date: Oct. 25, 2018	Title: Keynote Address - ICI Securities Law Developments Conference
Date: Oct. 16, 2018	Title: Remarks at the IDC - 2018 Fund Directors Conference
Date: Sept. 30, 2018	Title: Money Market Fund Statistics: September, 2018
Date: Sept. 18, 2018	Title: New Form N-PORT
Date: Sept. 18, 2018	Title: New Form N-LIQUID
Date: Sept. 13, 2018	Title: IM Information Update (Statement Regarding Staff Proxy Advisory Letters)
Date: Sept. 13, 2018	Title: Staff Letter (No-Action relief under Sections 5(b) and 6(b) of the Securities Act of 1933 and Rule 486(b) thereunder)
Date: Sept. 13, 2018	Title: Jennifer McHugh Named Acting Associate Director, Disclosure Review and Accounting Office
Date: Sept. 7, 2018	Title: Staff Letter: Golub Capital BDC, Inc., et al.
Date: Aug. 17, 2018	Title: Money Market Fund Statistics: July, 2018
Date: Aug. 8, 2018	Title: Staff Letter: Charles Schwab & Co., Inc.
Date: Aug. 7, 2018	Title: Investment Advisers Act of 1940 — Section 206(4) / Rule 206(4)-3 Charles Schwab & Co., Inc.