Division of Investment Management: Modified or Withdrawn Staff Statements
The Division of Investment Management issues staff no-action letters and other staff statements that represent the views of the Division staff and are not a rule, regulation, or statement of the Commission, which has neither approved nor disapproved the content. Like all staff guidance, staff statements do not have any legal force or effect. They do not alter or amend applicable law, and they create no new or additional obligations.
This list consists of certain staff statements that have been modified or withdrawn over time. This list is not exhaustive and is intended solely as a resource. There may be other staff statements that have been modified or withdrawn that are not included in this list or are no longer applicable. Accordingly, a staff statement should be considered in light of regulatory changes that may have occurred since it was issued.
Contact the Division of Investment Management with any specific questions.
Advertising
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
|
A.R. Schmeidler & Co., Inc., SEC Staff Letter |
June 1, 1976 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Amherst Financial Services Inc., SEC Staff Letter |
May 23, 1995 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Anametrics Investment Mgmt., SEC Staff Letter |
May 5, 1977 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Bradford Hall, SEC Staff Letter |
July 19, 1991 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
BullBear Indicator, Inc., SEC Staff Letter |
Apr. 14, 1973 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Bypass Wall Street, SEC Staff Letter |
Jan. 7, 1992 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Cambiar Investors, Inc., SEC Staff Letter |
Aug. 28, 1997 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
CIGNA Securities, Inc., SEC Staff Letter |
May 8, 1991 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Clover Capital Management, SEC Staff Letter |
July 19, 1991 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Clover Capital Management, SEC Staff Letter |
Oct. 28, 1986 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Conway Asset Management, Inc., SEC Staff Letter |
Jan. 27, 1989 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Covato/Lipsitz, Inc., SEC Staff Letter |
Oct. 23, 1981 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
DALBAR, Inc., SEC Staff Letter |
Mar. 24, 1998 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Denver Investment Advisors, Inc., SEC Staff Letter |
July 30, 1993 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Donaldson, Lufkin & Jenrette Securities Corp., SEC Staff Letter |
Mar. 2, 1977 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Dow Theory Forecasts, Inc., SEC Staff Letter |
May 21, 1986 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Dow Theory Forecasts, Inc., SEC Staff Letter |
Nov. 7, 1985 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Dow Theory Forecasts, Inc., SEC Staff Letter |
Aug. 23, 1983 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Edward F. O’Keefe, SEC Staff Letter |
Apr. 13, 1978 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Executive Analysts, Inc., SEC Staff Letter |
Aug. 6, 1972 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
F. Eberstadt & Co., Inc., SEC Staff Letter |
July 2, 1978 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Ferris & Company, Inc., SEC Staff Letter |
May 23, 1972 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Fiduciary Management Associates, Inc., SEC Staff Letter |
Mar. 5, 1984 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Foster & Marshall, Inc., SEC Staff Letter |
Feb. 18, 1977 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Franklin Management, Inc.. SEC Staff Letter |
Dec. 10, 1998 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Gallagher and Associates, Ltd.. SEC Staff Letter |
July 10, 1995 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Great Lakes Advisors, Inc., SEC Staff Letter |
Apr. 3, 1992 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Horizon Asset Mgmt. LLC., SEC Staff Letter |
Sept. 13, 1996 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Investment Adviser Association, SEC Staff Letter |
Dec. 2, 2005 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Investment Company Institute, SEC Staff Letter |
Sept. 23, 1988 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Investment Company Institute, SEC Staff Letter |
Aug. 24, 1987 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Investment Counsel Association of America, SEC Staff Letter |
Mar. 1, 2004 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Investor Intelligence (John Anthony), SEC Staff Letter |
Apr. 18, 1975 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
J.D. Minnick & Co., SEC Staff Letter |
Apr. 30, 1975 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
J.P. Morgan Investment Mgmt., Inc., SEC Staff Letter |
May 7, 1996 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
James Maratta, SEC Staff Letter |
June 3, 1977 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Kurtz Capital Management, SEC Staff Letter |
Jan. 18, 1988 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Mark Eaton, SEC Staff Letter |
June 9, 1977 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Munder Capital Mgmt., SEC Staff Letter |
May 17, 1996 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
National Corporate Sciences, Inc., SEC Staff Letter |
July 24, 1976 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
New York Investors Group, Inc., SEC Staff Letter |
Sept. 7, 1982 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Norman L. Yu, SEC Staff Letter |
Apr. 12, 1971 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Oberweis Securities, Inc., SEC Staff Letter |
July 25, 1983 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Richard Silverman, SEC Staff Letter |
Mar. 27, 1985 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Securities Industry Association, SEC Staff Letter |
Nov. 27, 1989 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
South State Bank, SEC Staff Letter |
May 8, 2018 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Stalker Advisory Services, SEC Staff Letter |
Jan. 18, 1994 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Starr & Kuehl, Inc., SEC Staff Letter |
Apr. 17, 1976 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Taurus Advisory Group, Inc., SEC Staff Letter |
July 15, 1993 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
The Mottin Forecast, SEC Staff Letter |
Nov. 29, 1975 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
The TCW Group, SEC Staff Letter |
Nov. 7, 2008 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Triad Asset Management, SEC Staff Letter |
Apr. 22, 1993 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Alphadex Corp., SEC Staff Letter |
Feb. 21, 1971 |
Nov. 4, 2022 |
Modified. Statements relating to the Advertising Rule only are withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Analytic Investment Management Incorporated, SEC Staff Letter |
Mar. 22, 1971 |
Nov. 4, 2022 |
Modified. Statements relating to the Advertising Rule only are withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Association for Investment Management and Research, SEC Staff Letter |
Dec. 18, 1996 |
Nov. 4, 2022 |
Modified. Statements relating to the Advertising Rule only are withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Bache & Company, SEC Staff Letter |
Feb. 5, 1976 |
Nov. 4, 2022 |
Modified. Statements relating to the Advertising Rule only are withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Cubitt-Nichols Associates, SEC Staff Letter |
Dec. 22, 1971 |
Nov. 4, 2022 |
Modified. Statements relating to the Advertising Rule only are withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Scientific Market Analysis, SEC Staff Letter |
Mar. 24, 1976 |
Nov. 4, 2022 |
Modified. Statements relating to the Advertising Rule only are withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Guidance on the Testimonial Rule and Social Media, SEC Staff Guidance Update |
March 2014 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Andrew M. Rich, SEC Staff Letter |
Feb. 22, 1989 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Charles Swanson, SEC Staff Letter |
Apr. 10, 1972 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
J.Y. Barry Arbitrage Management, Inc., SEC Staff Letter |
Oct. 18, 1989 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
James B. Peeke & Co., Inc., SEC Staff Letter |
Sept. 13, 1982 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Mills-Price & Associates, Inc., SEC Staff Letter |
July 15, 1992 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Multi-Financial Securities Corp., SEC Staff Letter |
Nov. 9, 1995 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
S. H. Dike & Co., Inc., SEC Staff Letter |
Apr. 20, 1975 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
|
Schield Stock Services, Inc., SEC Staff Letter |
Feb. 26, 1972 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Advertising |
Affiliated Transactions
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
|
March 19, 2020 |
Nov. 4, 2022 |
Withdrawn. See Staff Statement Regarding Termination Notice For Exemptive Relief and Withdrawal of Staff Letters Related To COVID-19 Response for more information. |
||
|
March 19, 2020 |
Nov. 4, 2022 |
Withdrawn. See Staff Statement Regarding Termination Notice For Exemptive Relief and Withdrawal of Staff Letters Related To COVID-19 Response for more information. |
||
|
March 26, 2020 |
Nov. 4, 2022 |
Withdrawn. See Staff Statement Regarding Termination Notice For Exemptive Relief and Withdrawal of Staff Letters Related To COVID-19 Response for more information. |
Money Market Funds |
Anti-Takeover Statutes
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
| Boulder Total Return Fund, Inc., SEC Staff Letter | Nov. 15, 2010 | May 27, 2020 | Withdrawn. See Staff Statement: Control Share Acquisition Statutes for more information. | Anti-Takeover Statutes; Closed-End Investment Companies; Voting Security |
Auditor Independence
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
| Fidelity Management & Research Company et al., SEC Staff Letter | Sept. 22, 2017 | Oct. 3, 2019 | Withdrawn. See Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships, IA Release No. 5255 (June 18, 2019) for more information. | Accounting and Auditing |
| Fidelity Management & Research Company et al., SEC Staff Letter | June 20, 2016 | Dec. 20, 2017 | Expired. See Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships, IA Release No. 5255 (June 18, 2019) for more information. | Accounting and Auditing |
Closed-End Fund Shelf Offerings
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
| Nuveen Virginia Premium Income Municipal Fund, SEC Staff Letter | Oct. 6, 2006 | Aug. 1, 2021 | Withdrawn. (effective Aug. 1, 2021). See Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information. | Closed-End Funds |
| Pilgrim America Prime Rate Trust, SEC Staff Letter | May 1, 1998 | Aug. 1, 2021 | Withdrawn. (effective Aug. 1, 2021). See Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information. | Closed-End Funds |
Crypto
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
| Staff Statement on WY Division of Banking’s “NAL on Custody of Digital Assets and Qualified Custodian Status” | Nov. 9, 2020 | May 6, 2025 | Withdrawn | Crypto |
| Staff Statement on Funds Registered Under the Investment Company Act Investing in the Bitcoin Futures Market | May 11, 2021 | May 6, 2025 | Withdrawn | Crypto |
ETFs
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
| SPDR Series Trust, et al., Staff Letter | June 24, 2015 | Dec. 23, 2020 | Withdrawn. See Staff Statement: Withdrawal of Staff Letters Related to Exchange-Traded Funds (ETFs) for more information. | ETFs |
| Derivatives Use by Actively-Managed ETFs, Staff Letter | Dec. 6, 2012 | Dec. 23, 2020 | Withdrawn. See Staff Statement: Withdrawal of Staff Letters Related to Exchange-Traded Funds (ETFs) for more information. | ETFs |
| Barclays Global Fund Advisors et al., Staff Letter | Mar. 12, 2009 | Dec. 23, 2020 | Withdrawn. See Staff Statement: Withdrawal of Staff Letters Related to Exchange-Traded Funds (ETFs) for more information. | ETFs |
| iShares Trust, et al., Staff Letter | Oct. 22, 2008 | Dec. 23, 2020 | Withdrawn. See Staff Statement: Withdrawal of Staff Letters Related to Exchange-Traded Funds (ETFs) for more information. | ETFs |
Funds of Funds
Investment Company Act Staff Issue of Interest (Statements Relating to Section 18 of the Investment Company Act)
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
|
Funds Using Tender Option Bond (TOB) Financings, Investment Management Staff Issue of Interest |
Mar. 29, 2012 |
Aug. 19, 2022 |
Withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
Investment Company Act Staff Letters (Statements Relating to Section 18 of the Investment Company Act)
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
|
Merrill Lynch Asset Management, L.P., SEC Staff Letter |
July 2, 1996 |
Aug. 19, 2022 |
Withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Robertson Stephens Investment Trust, SEC Staff Letter |
Aug. 24, 1995 |
Aug. 19, 2022 |
Withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Sanford C. Bernstein Fund, Inc, SEC Staff Letter |
June 25, 1990 |
Aug. 19, 2022 |
Withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Hutton Options Trading LP, SEC Staff Letter |
Feb. 2, 1989 |
Aug. 19, 2022 |
Withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Dreyfus Strategic Investing and Dreyfus Strategic Income, SEC Staff Letter |
June 22, 1987 |
Aug. 19, 2022 |
Withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
SAFECO Municipal Bond Fund, Inc., SEC Staff Letter |
Nov. 26, 1982 |
Aug. 19, 2022 |
Withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
Investment Company Act Staff Letters (Statements Relating to Section 12(a) and Section 18)
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
|
DataConcepts Fund, Inc., SEC Staff Letter |
Aug. 25, 1980 |
Aug. 19, 2022 |
Withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Emerald Mgt. Co, SEC Staff Letter |
Jan. 21, 1978 |
Aug. 19, 2022 |
Withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
Investment Company Act Staff Letters (Statements Relating to Section 12(a), Section 18, and Section 17(f))
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
|
Claremont Capital Corp., SEC Staff Letter |
Sept. 16, 1979 |
Aug. 19, 2022 |
Modified. Statements relating to Section 12 and statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
Investment Company Act Staff Letters (Statements Relating to Section 18 and Section 17(f))
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
|
Investment Company Institute and SIFMA AMG, SEC Staff Letter |
May 27, 2020 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Franklin Templeton Investments, SEC Staff Letter |
June 19, 2009 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Prudential-Bache IncomeVertible Plus Fund, Inc., SEC Staff Letter |
Nov. 20, 1985 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
State Street Income Fund, State Street Balanced Fund, SEC Staff Letter |
Oct. 21, 1985 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
New England Life Government Securities Trust, SEC Staff Letter |
Sept. 26, 1985 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Thomson McKinnon Investment Trust, SEC Staff Letter |
Sept. 23, 1985 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Putnam Option Income Trust II, SEC Staff Letter |
Sept. 23, 1985 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
GMO Core Trust, SEC Staff Letter |
Aug. 19, 1985 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Bartlett Capital Trust, SEC Staff Letter |
Aug. 19, 1985 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Continental Option Income Plus Fund,, SEC Staff Letter |
Aug. 12, 1985 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Colonial High Yield Securities Trust, Colonial Enhanced Mortgage Trust, SEC Staff Letter |
July 25, 1985 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Putnam High Income Government Trust, SEC Staff Letter |
June 3, 1985 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Bartlett Management Trust, SEC Staff Letter |
May 17, 1985 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Drexel Series Trust – Government Securities Series, SEC Staff Letter |
Apr. 25, 1985 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Koenig Tax-Advantaged Liquidity Fund, Inc, SEC Staff Letter |
Mar. 27, 1985 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Colonial Tax-Exempt High Yield Trust, SEC Staff Letter |
Dec. 31, 1984 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Monitrend Fund, SEC Staff Letter |
Nov. 14, 1984 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Pilot Fund, Inc, SEC Staff Letter |
Sept. 14, 1984 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Colonial Government Securities Plus Trust, SEC Staff Letter |
June 15, 1984 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Z-Seven Fund, Inc, SEC Staff Letter |
May 21, 1984 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Pension Hedge Fund Inc, SEC Staff Letter |
Jan. 20, 1984 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
SteinRoe Bond Fund, Inc., SEC Staff Letter |
Jan. 17, 1984 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
IDS Bond Fund, Inc., SEC Staff Letter |
Apr. 11, 1983 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
Montgomery Street Income Securities, Inc., SEC Staff Letter |
Apr. 11, 1983 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
Investment Company Act Staff Letters (Statements Relating to Section 18 of the Investment Company Act as it relates to fund (i) use of options and (ii) engagement in securities lending activities)
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
|
SIFE Trust Fund, SEC Staff Letter |
Feb. 17, 1982 |
Aug. 19, 2022 |
Modified. Statements relating to Section 18 and the use of written options are withdrawn. In connection with a securities loan in which the lending fund invests cash collateral in instruments other than cash and cash equivalents, only statements relating to Section 18(f) and statements relating to the limitation on the amount of securities on loan are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
Investment Company Act Staff Letters (Statements Relating to Section 18 of the Investment Company Act as it relates to fund engagement in securities lending activities)
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
|
Salomon Brothers, SEC Staff Letter |
May 4, 1975 |
Aug. 19, 2022 |
Modified. In connection with a securities loan in which the lending fund invests cash collateral in instruments other than cash and cash equivalents, only statements relating to Section 18(f) and statements relating to the limitation on the amount of securities on loan are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
|
The Brinson Funds, et al., SEC Staff Letter |
Nov. 25, 1997 |
Aug. 19, 2022 |
Modified. In connection with a securities loan in which the lending fund invests cash collateral in instruments other than cash and cash equivalents, only statements relating to Section 18(f) and statements relating to the limitation on the amount of securities on loan are withdrawn. See Investment Company Act Rel. No. 34084 (Nov. 2, 2020) |
Senior Securities |
Markets in Financial Instruments Directive II (MiFID II)
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
| Securities Industry and Financial Markets Association, SEC Staff Letter |
Oct. 26, 2017 |
July 3, 2023 | Expired. | MiFID II |
| Securities Industry and Financial Markets Association, SEC Staff Letter |
Nov. 4, 2019 |
July 3, 2023 | Expired. | MiFID II |
Proxy
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
| Institutional Shareholder Services, Inc., SEC Staff Letter | Sept. 15, 2004 | Sept. 13, 2018 | Withdrawn. See Statement Regarding Staff Proxy Advisory Letters, Division of Investment Management (Sept. 13, 2018) for more information. | Proxy |
| Egan-Jones Proxy Services, SEC Staff Letter | May 27, 2004 | Sept. 13, 2018 | Withdrawn. See Statement Regarding Staff Proxy Advisory Letters, Division of Investment Management (Sept. 13, 2018) for more information. | Proxy |
Solicitation
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
|
Allen Isaacson, SEC Staff Letter (*This is the same SEC Staff Letter as Fried, Frank, et al. below) |
Dec. 17, 1979 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
AMA Investment Advisers, Inc., SEC Staff Letter |
Oct. 28, 1993 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Ameriprise Financial Services, Inc., SEC Staff Letter |
Apr. 5, 2006 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Bond Timing Securities Corporation, SEC Staff Letter |
Nov. 29, 1984 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Charles Schwab & Co. Inc., SEC Staff Letter |
Apr. 29, 1998 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Dechert Price and Rhoads, SEC Staff Letter |
Dec. 4, 1990 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
E. Magnus Oppenheim & Co., SEC Staff Letter |
Mar. 25, 1985 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
E.F. Hutton and Co. Inc., SEC Staff Letter |
Sept. 21, 1987 |
Nov. 4, 2022 |
Withdrawn. See See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Excellence in Advertising, Ltd., SEC Staff Letter |
Dec. 15, 1986 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Fried, Frank, Harris, Shriver & Jacobson, SEC Staff Letter |
Dec. 17, 1979 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Heys, Robert J., SEC Staff Letter |
May 12, 1986 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
International Association for Financial Planning, SEC Staff |
June 1, 1998 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
JMB Financial Managers, Inc., SEC Staff Letter |
June 23, 1993 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Lincoln National Investment Management Co., SEC Staff Letter |
Mar. 26, 1992 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Mayer Brown LLP, SEC Staff Letter |
July 15, 2008 (minor edits made July 28, 2008) |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Merchants Capital Management, Inc., SEC Staff Letter |
Oct. 4, 1991 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Mid-States Capital Planning, SEC Staff Letter |
Apr. 11, 1983 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Moneta Group Investment Advisors, Inc., SEC Staff Letter |
Oct. 12, 1993 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Stein, Roe and Farnham, Inc., SEC Staff Letter |
June 29, 1990 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Stein, Roe and Farnham Inc., SEC Staff Letter |
May 26, 1987 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Stonebridge Capital Management, SEC Staff Letter |
Dec. 12, 1979 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
The Lowry Management Corp., SEC Staff Letter |
Sept. 7, 1982 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Trident Investment Management, SEC Staff Letter |
Dec. 18, 1981 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Trinity Investment Management Corp., SEC Staff Letter |
Mar. 7, 1980 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Van Eerden Investment Advisory Services, Inc., SEC Staff Letter |
May 21, 1984 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Dana Investment Advisors, Inc., SEC Staff Letter |
Oct. 12, 1994 |
Nov. 4, 2022 |
Modified. Statements relating to the Cash Solicitation Rule only are withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Denver Credit Union, SEC Staff Letter |
Sept. 15, 1988 |
Nov. 4, 2022 |
Modified. Statements relating to the Cash Solicitation Rule only are withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
National Football League Players Association, SEC Staff Letter |
Jan. 25, 2002 |
Nov. 4, 2022 |
Modified. Statements relating to the Cash Solicitation Rule only are withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Roy Heybrock, SEC Staff Letter |
Apr. 5, 1982 |
Nov. 4, 2022 |
Modified. Statements relating to the Cash Solicitation Rule only are withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Shareholder Service Corporation, SEC Staff Letter |
Feb. 3, 1989 |
Nov. 4, 2022 |
Modified. Statements relating to the Cash Solicitation Rule only are withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Charles Schwab & Co., SEC Staff Letter |
Dec. 17, 1980 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Cunningham Advisory Services, Inc., SEC Staff Letter |
Apr. 27, 1987 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Koyen, Clarke and Assoc. Inc., SEC Staff Letter |
Nov. 10, 1986 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
|
Securities International, Ltd., dba ITZ, Ltd., SEC Staff Letter |
Mar. 14, 1989 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation |
Solicitation - Solicitor Disqualification Letters
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
|
Aeltus Investment Management, Inc., SEC Staff Letter |
July 17, 2000 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
American International Group, Inc., SEC Staff Letter |
Dec. 8, 2004 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
American International Group, Inc., SEC Staff Letter |
Feb. 21, 2006 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Automated Trading Desk Specialists, LLC, SEC Staff Letter |
Mar. 13, 2009 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Banc of America Securities LLC, SEC Staff Letter |
June 10, 2009 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Barclays Bank, PLC, SEC Staff Letter |
June 6, 2007 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Bear, Stearns & Company, Inc., and several settling firms, SEC Staff Letter |
Jan. 1, 1999 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Bear, Stearns & Company Inc., SEC Staff Letter |
Oct. 31, 2003 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Bear, Stearns Securities Corp., SEC Staff Letter |
Aug. 5, 1999 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
BT Alex. Brown Inc., SEC Staff Letter |
Nov. 17, 1999 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
BT Securities Corp., SEC Staff Letter |
Mar. 30, 1992 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Carnegie Asset Management, Inc., SEC Staff Letter |
July 11, 1994 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Charles Schwab & Co., Inc., SEC Staff Letter |
Aug. 7, 2018 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
CIBC Mellon Trust Company, SEC Staff Letter |
Feb. 24, 2005 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Citigroup Global Markets, Inc., SEC Staff Letter |
Aug. 6, 2014 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Citigroup Global Markets, Inc., SEC Staff Letter |
Dec. 23, 2008 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc., SEC Staff Letter |
Oct. 31, 2003 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Citigroup Inc., SEC Staff Letter |
Oct. 22, 2010 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Credit Suisse, SEC Staff Letter |
May 20, 2014 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Credit Suisse First Boston Corp., SEC Staff Letter |
Aug. 24, 2000 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Credit Suisse First Boston LLC, SEC Staff Letter |
Oct. 31, 2003 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Deutsche Bank Securities Inc., SEC Staff Letter |
Sept. 24, 2004 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Deutsche Bank Securities Inc., SEC Staff Letter |
June 9, 2009 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Dougherty & Company LLC, SEC Staff Letter |
July 3, 2003 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Dougherty & Company LLC, SEC Staff Letter |
Mar. 21, 2003 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Dreyfus Corp., SEC Staff Letter |
Mar. 9, 2001 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
E*Trade Capital Markets LLC, SEC Staff Letter |
Mar. 12, 2009 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
E-Invest, Inc., SEC Staff Letter |
Sept. 22, 2000 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Emanuel J. Friedman; EJF Capital LLC, SEC Staff Letter |
Jan. 16, 2007 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
F. Porter Stansberry, SEC Staff Letter |
Sept. 30, 2015 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Fahnestock & Company Inc., SEC Staff Letter |
Apr. 21, 2003 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
First City Capital Corp., SEC Staff Letter |
Feb. 9, 1990 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Founders Asset Management LLC, SEC Staff Letter |
Nov. 8, 2000 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
General Electric Company, SEC Staff Letter |
Aug. 12, 2009 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
General Electric Company, SEC Staff Letter |
Aug. 2, 2010 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
GE Funding Capital Market Services, Inc., SEC Staff Letter |
Jan. 25, 2012 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Goldman, Sachs & Co., SEC Staff Letter |
Feb. 23, 2005 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Goldman, Sachs & Co., SEC Staff Letter |
July 22, 2010 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Goldman, Sachs & Co., SEC Staff Letter |
Oct. 31, 2003 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Gruntal & Co., SEC Staff Letter |
July 17, 1996 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Hickory Capital Management, SEC Staff Letter |
Feb. 11, 1993 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
In re William R. Hough & Co./In the Matter of Certain Municipal Bond Refundings, SEC Staff Letter |
Apr. 13, 2000 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
In the Matter of Market Making Activities on Nasdaq, SEC Staff Letter |
Jan. 11, 1999 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
ING Bank N.V., SEC Staff Letter |
Aug. 31, 2005 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Interstate/Johnson Lane Corp., SEC Staff Letter |
Apr. 21, 1997 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
J.B. Hanauer, SEC Staff Letter |
Apr. 27, 1999 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
J.B. Hanauer, SEC Staff Letter |
Dec. 12, 2000 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
JPMorgan Chase & Co., SEC Staff Letter |
May 20, 2015 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
J.P. Morgan Securities Inc., SEC Staff Letter |
Oct. 31, 2003 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
J.P. Morgan Securities Inc., SEC Staff Letter |
Oct. 8, 2003 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
J.P. Morgan Securities Inc., SEC Staff Letter |
Jan. 9, 2013 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
J.P. Morgan Securities Inc., SEC Staff Letter |
July 11, 2011 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
J.P. Morgan Securities Inc., SEC Staff Letter |
June 29, 2011 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
J.P. Turner & Company, L.L.C., et al., SEC Staff Letter |
Sept. 10, 2012 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
James DeYoung, SEC Staff Letter |
Oct. 24, 2003 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Janney Montgomery Scott LLC and Norman T. Wilde, Jr., SEC Staff Letter |
July 18, 2000 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Kidder Peabody & Co., SEC Staff Letter |
Mar. 30, 1992 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Kidder Peabody & Co., Inc., SEC Staff Letter |
Oct. 11, 1990 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Legg Mason Wood Walker, Inc., SEC Staff Letter |
June 11, 2001 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Lehman Brothers, SEC Staff Letter |
Oct. 31, 2003 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Macquarie Capital (USA) Inc., SEC Staff Letter |
June 1, 2017 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
McDonald Investments Inc., SEC Staff Letter |
Apr. 2, 1999 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Merrill Lynch, Pierce, Fenner & Smith Inc., SEC Staff Letter |
Sept. 15, 1999 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Merrill Lynch, Pierce, Fenner & Smith Inc., SEC Staff Letter |
Aug. 7, 1997 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Merrill Lynch, Pierce, Fenner & Smith Inc., SEC Staff Letter |
Oct. 31, 2003 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Millennium Partners, L.P., SEC Staff Letter |
Mar. 9, 2006 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Mitchell Hutchins Asset Management, Inc., SEC Staff Letter |
Jan. 2, 1998 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Morgan Keegan & Co., Inc., SEC Staff Letter |
Jan. 9, 1998 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Morgan Stanley & Co., Incorporated, SEC Staff Letter |
May 15, 2006 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Morgan Stanley & Co., Inc., SEC Staff Letter |
Feb. 4, 2005 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Morgan Stanley & Co., SEC Staff Letter |
Oct. 31, 2003 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Nationsbanc Investments, Inc., SEC Staff Letter |
May 6, 1998 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Norman Zadeh and Prime Advisors, Inc., SEC Staff Letter |
Nov. 8, 2001 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Oppenheimer & Co., Inc., SEC Staff Letter |
June 5, 1992 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
PaineWebber Inc., SEC Staff Letter |
Dec. 22, 1998 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Paul Laude, CFP, SEC Staff Letter |
June 22, 2000 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Prudential Financial, Inc., SEC Staff Letter |
Sept. 5, 2008 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Prudential Securities Inc., SEC Staff Letter |
Sept. 5, 2008 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Prudential Securities Inc., SEC Staff Letter |
Feb. 7, 2001 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Ramius Capital Management, SEC Staff Letter |
Apr. 5, 1996 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
RBC Capital Markets Corp., SEC Staff Letter |
June 10, 2009 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
RBS Securities, Inc., SEC Staff Letter |
Nov. 26, 2013 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
RNC Capital Management Inc., SEC Staff Letter |
Feb. 7, 1989 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Royal Bank of Canada, SEC Staff Letter |
Dec. 19, 2014 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Salomon Brothers, Inc., SEC Staff Letter |
Jan. 26, 1994 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Stein Roe & Farnham Inc., SEC Staff Letter |
Aug. 25, 1988 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Stein Roe Farnham - Touche Remnant Holdings Ltd., SEC Staff Letter |
Jan. 20, 1990 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Stephanie Hibler, SEC Staff Letter |
Jan. 24, 2014 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Stephens Inc., SEC Staff Letter |
Dec. 27, 2001 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Stifel, Nicolaus & Company, Inc., SEC Staff Letter |
Dec. 6, 2016 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
The Dreyfus Corp., SEC Staff Letter |
Mar. 9, 2001 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Thomas Weisel Partners LLC, SEC Staff Letter |
Sept. 24, 2004 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Tucker Anthony Inc., SEC Staff Letter |
Dec. 21, 2000 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
U.S. Bancorp Piper Jaffray Inc., SEC Staff Letter |
Oct. 31, 2003 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
UBS AG, SEC Staff Letter |
May 20, 2015 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
UBS AG, SEC Staff Letter |
Mar. 20, 2009 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
UBS Financial Services Inc., SEC Staff Letter |
May 9, 2011 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
UBS Securities LLC (f/k/a UBS Warburg LLC), SEC Staff Letter |
Oct. 31, 2003 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
UBS Securities LLC/UBS Financial Services Inc., SEC Staff Letter |
Dec. 23, 2008 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Wachovia Securities LLC, SEC Staff Letter |
Feb. 18, 2009 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Wells Fargo Bank, N.A., SEC Staff Letter |
July 15, 2013 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Wells Fargo Bank, N.A., SEC Staff Letter |
Sept. 21, 2012 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
|
Wells Fargo Bank, N.A., SEC Staff Letter |
Dec. 12, 2011 |
Nov. 4, 2022 |
Withdrawn. See Investment Advisers Rel. No. 5653 (Nov. 4, 2022) and IM Information Update 2021-10 for more information. |
Solicitation – Solicitor Disqualification Letters |
Standard of Conduct
| Item Description | Date Issued | Date Modified or Withdrawn |
Notes | Topic(s) |
|---|---|---|---|---|
| Heitman Capital Management, LLC, SEC Staff Letter | Feb. 12, 2007 | Jul. 12, 2019 | Withdrawn. See Commission Interpretation Regarding Standard of Conduct for Investment Advisers, IA Rel. No. 5248 (June 5, 2019) for more information. | Investment Advisers General |
Valuation
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
| Paul Revere Investors, Inc., SEC Staff Letter | Feb. 21, 1973 | Sept. 8, 2022 | Withdrawn. See Investment Company Act Rel. No. 34128 (Dec. 3, 2020) for more information. | Valuation |
| The Putnam Growth Fund and Putnam International Equities Fund, Inc., SEC Staff Letter | Jan. 23, 1981 | Sept. 8, 2022 | Withdrawn. See Investment Company Act Rel. No. 34128 (Dec. 3, 2020) for more information. | Valuation |
| Form N-7 for Registration of Unit Investment Trusts under the Securities Act of 1933 and the Investment Company Act of 1940, Investment Company Act Release No. 15612, Appendix B, Guide 2 | Mar. 17, 1987 | Sept. 8, 2022 | Withdrawn. See Investment Company Act Rel. No. 34128 (Dec. 3, 2020) for more information. | Valuation |
| Investment Company Institute, SEC Staff Letter | Dec. 8, 1999 | Sept. 8, 2022 | Withdrawn. See Investment Company Act Rel. No. 34128 (Dec. 3, 2020) for more information. | Valuation; Fair Value Pricing; Pricing – Fair Value Pricing |
| Investment Company Institute, SEC Staff Letter |
Apr. 30, 2001 |
Sept. 8, 2022 | Withdrawn. See Investment Company Act Rel. No. 34128 (Dec. 3, 2020) for more information. | Valuation; Fair Value Pricing; Pricing – Fair Value Pricing |
| Valuation Guidance Frequently Asked Questions (FAQ 1 only) | 2014 | Sept. 8, 2022 | Withdrawn. See Investment Company Act Rel. No. 34128 (Dec. 3, 2020) for more information. | Valuation |
Variable Annuity and Variable Life Insurance Contracts
| Item Description | Date Issued | Date Modified or Withdrawn | Notes | Topic(s) |
|---|---|---|---|---|
| Nationwide Life Insurance Company, SEC Staff Letter | Mar. 16, 2001 | Jan. 1, 2022 | Withdrawn (effective: January 1, 2022). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Disclosure; Insurance Products |
| Cova Financial Services Life Insurance Co., SEC Staff Letter | Apr. 15, 1996 | Jan. 1, 2022 | Withdrawn (effective: January 1, 2022). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Disclosure; Insurance Products |
| Metropolitan Life Insurance Co., SEC Staff Letter | Apr. 26, 1995 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Delivery |
| Monarch Life Insurance Company, SEC Staff Letter | Jun. 9, 1992 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Delivery |
| Great-West Life and Annuity Insurance Company, SEC Staff Letter | Oct. 23, 1990 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Delivery |
| The Equitable Life Assurance Society of the United States, SEC Staff Letter | Aug. 30, 1990 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Delivery |
| MML Bay State Life Ins. Co., SEC Staff Letter | Apr. 12, 1990 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Delivery |
| Transamerica Occidental Life Insurance Co., SEC Staff Letter | Mar. 16, 1990 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Delivery |
| Connecticut Mutual Life Insurance Company, SEC Staff Letter | Mar. 7, 1990 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Delivery |
| MONY Life Insurance Company of America, SEC Staff Letter | Feb. 27, 1990 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Delivery |
| Century Life of America, SEC Staff Letter | Jan. 17, 1990 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Delivery |
| New York Life Insurance and Annuity Corp., SEC Staff Letter | Nov. 15, 1989 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Delivery |
| Bankers National Life Insurance Co., SEC Staff Letter | Apr. 28, 1989 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Delivery |
| Volunteer State Life Insurance Company, SEC Staff Letter | Feb. 10, 1989 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Delivery |
| Metropolitan Tower Life Insurance Company, SEC Staff Letter | May 12, 1988 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Delivery |
| Security Benefit Life Insurance Company, SEC Staff Letter | Jul. 2, 1987 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Delivery |
| Life Insurance Company of North America, SEC Staff Letter | Jun. 16, 1986 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Delivery |
| Pacific Fidelity Life Insurance Company, SEC Staff Letter | Jan. 27, 1986 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Delivery |
| Federal Life Variable Annuity Account A, SEC Staff Letter | May 10, 1982 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Delivery |
| Horace Mann Life Insurance Company, SEC Staff Letter | Mar. 31, 1982 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Delivery |
| Horace Mann Life Insurance Company, SEC Staff Letter | Apr. 10, 1981 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information. | Prospectuses-Delivery |
| Washington National Insurance Company, SEC Staff Letter | May 17, 1978 | Jul. 1, 2020 | Withdrawn (effective: July 1, 2020). See Investment Company Act Rel. No. 33814 (Mar. 11, 2020 and IM Information Update 2020-01 for more information. | Prospectuses-Delive |
486(b) Staff Letters
Last Reviewed or Updated: May 6, 2025