View news from the Division of Investment Management.

Date
Title
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: Division of Investment Management’s Chief Accountant is Seeking Candidates for 2021 Professional Accounting Fellow Position
Date: Title: Accounting Matters Bibliography
Date: Title: From the Chief Accountant, Letter to CFOs (PDF)
Date: Title: IM Information Update (Withdrawal and Modification of Staff Letters Related To Rulemaking on Use of Derivatives and Certain Other Transactions by Registered Investment Companies and Business Development Companies) (PDF)
Date: Title: Marketing Compliance Frequently Asked Questions
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: Transamerica Life Insurance Company and Transamerica Financial Life Insurance Company (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: Michelle Beck named Risk Management Fellow, Analytics Office
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: IM Information Update (Withdrawal of Staff Letters Related To ETF Rule) (PDF)
Date: Title: IM Information Update (Withdrawal of Staff Letters Related To Rulemaking On Fund Of Funds Arrangements) (PDF)
Date: Title: From the Chief Accountant, Letter to CFOs (PDF)
Date: Title: Money Market Fund Statistics, September 2020 (PDF)
Date: Title: Michael Neus Named Private Funds Attorney Fellow, Investment Adviser Regulation Office
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: Holly Miller and David Stevens named Senior Financial Analysts, Analytics Office
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)
Date: 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: Title: Staff Letter (No-Action relief under Section 12(d(3) of the Investment Company Act of 1940)
Date: Title: Money Market Fund Statistics, March 2020 (PDF)
Date: Title: EDGAR Filing Window Extension on April 29, 2020 for Registered Investment Companies and Business Development Companies
Date: Title: ADI 2020-10 - Filing and Delivery Obligations for Certain Discontinued Variable Insurance Contracts
Date: Title: IM No Action Letter (Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products) (PDF)
Date: Title: Division of Investment Management Coronavirus (COVID-19) Response FAQs
Date: Title: Importance of Delivering Timely and Material Information to Investment Company Investors
Date: 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: 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: Title: Staff No Action Letter: Affiliated Purchases of Debt Securities under Section 17(a) of the Investment Company Act
Date: Title: Money Market Fund Statistics, February 2020 (PDF)
Date: Title: Staff Letter (No-Action relief under section 17(a) and rule 17a-9 of the Investment Company Act of 1940)
Date: Title: Division of Investment Management Staff Statement Regarding New Resource for Modified or Withdrawn Staff Statements (PDF)
Date: 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: Title: Division of Investment Management Operating Status
Date: Title: Viktoria Baklanova Named Senior Financial Analyst, Analytics Office
Date: Title: Staff Statement on Fund Board Meetings and Unforeseen or Emergency Circumstances Related to Coronavirus Disease 2019 (COVID-19)
Date: 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: Title: Money Market Fund Statistics, January 2020 (PDF)
Date: Title: Staff Letter (No-action relief pursuant to Rule 14a-8 under the Securities Exchange Act of 1934)
Date: Title: Staff Letter (No-action relief pursuant to Rule 14a-8 under the Securities Exchange Act of 1934)
Date: Title: Staff Letter (No-action relief pursuant to Rule 14a-8 under the Securities Exchange Act of 1934)
Date: Title: Staff Letter (No-action relief pursuant to Rule 14a-8 under the Securities Exchange Act of 1934)
Date: Title: Staff Letter (No-action relief pursuant to Rule 14a-8 under the Securities Exchange Act of 1934)
Date: Title: Staff Letter (No-action relief pursuant to Rule 14a-8 under the Securities Exchange Act of 1934)
Date: Title: Staff Letter (No-action relief pursuant to Rule 14a-8 under the Securities Exchange Act of 1934)
Date: Title: Staff Letter (No-action relief pursuant to Rule 14a-8 under the Securities Exchange Act of 1934)
Date: Title: Money Market Fund Statistics, December 2019 (PDF)
Date: Title: SEC Issues Agenda for Inaugural Meeting of the Asset Management Advisory Committee
Date: 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: Title: Staff Letter (Investment Advisers Act of 1940 - Section 206(4) and Rule 206(4)-2)
Date: Title: Money Market Fund Statistics, October 2019 (PDF)
Date: 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: Title: Keynote Address — 2019 ICI Securities Law Developments Conference
Date: Title: Remarks to the Greater Cincinnati Mutual Fund Association
Date: Title: Frequently Asked Questions on Form CRS
Date: Title: From the Chief Accountant, Letter to CFOs (PDF)
Date: Title: Keynote Address - ALI CLE 2019 Conference on Life Insurance Company Products
Date: Title: Staff Letter (No-Action relief under section 202(a)(11) of the Investment Advisers Act of 1940)
Date: Title: Money Market Fund Statistics, September 2019 (PDF)
Date: Title: Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation
Date: Title: No Action Letter (Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products) (PDF)
Date: Title: No Action Letter (Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products) (PDF)
Date: Title: Staff Responses to Inquiries Regarding Business Development Companies and Section 61(a) of the Investment Company Act of 1940
Date: Title: Money Market Fund Statistics, August 2019 (PDF)
Date: Title: ADI 2019-09 - Performance and Fee Issues
Date: Title: ADI 2019-08 - Improving Principal Risks Disclosure
Date: Title: Joshua Weinberg Named Senior Special Counsel, Analytics Office
Date: Title: Money Market Fund Statistics, July 2019 (PDF)
Date: 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: Title: Staff Letter (No-Action relief under Section 7 of the Investment Company Act of 1940)
Date: Title: IM No Action Letters (Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products) (PDF)
Date: 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: 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: Title: Money Market Fund Statistics, June 2019 (PDF)
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