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Staff Updates for Division of Investment Management

Jan. 18, 2014

IM Guidance Updates
Issues of Interest - Investment Advisers Act
- Investment Advisers Registered with the Commodity Futures Trading Commission ("CFTC") that Advise Private Funds (November 15, 2012)
- Advisory Contracts - Consent (June 15, 2012)
- Advisory Contracts - Transition for Newly Registered and Registering Advisers (March 30, 2012)
- Persons Who Provide Advice Solely Regarding Matters Not Concerning Securities (March 27, 2012)
Issues of Interest - Investment Company Act
- After-Tax Return (February 22, 2013)
- Joint Transactions — Portfolio Holdings of Companies Electing Status as Business Development Companies (“BDCs”) (November 27, 2012)
- Affiliated Funds of Funds — Section 12(d)(1) of the Investment Company Act (October 19, 2012)
- Advisory Contracts — Combined Investment Advisory and Service Fees (October 5, 2012)
- Funds Using Tender Option Bond (TOB) Financings (March 29, 2012)
- Business Development Companies — Auditor Verification of Securities Owned (March 12, 2012)
- Rule 18f-3 under the Investment Company Act — Removal of a Class (September 2, 2010)
- Rules 436 and 482 under the Securities Act (August 10, 2010)

Last Reviewed or Updated: June 28, 2024