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Investment Management

View news from the Division of Investment Management.

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Date
Title
Date: Feb. 2, 2023 Title: Differential Advisory Fee Waivers
Date: Jan. 20, 2023 Title: Money Market Fund Statistics- Supporting Data, December 2022 (XLSX)
Date: Jan. 20, 2023 Title: Money Market Fund Statistics, December 2022 (PDF)
Date: Jan. 10, 2023 Title: Marketing Compliance Frequently Asked Questions
Date: Dec. 20, 2022 Title: Money Market Fund Statistics- Supporting Data, November 2022 (XLSX)
Date: Dec. 20, 2022 Title: Money Market Fund Statistics, November 2022 (PDF)
Date: Nov. 17, 2022 Title: Money Market Fund Statistics- Supporting Data, October 2022 (XLSX)
Date: Nov. 17, 2022 Title: Money Market Fund Statistics, October 2022 (PDF)
Date: Oct. 21, 2022 Title: IM No Action Letters (Permission Granted Pursuant Regulation S-X Rule 3-13 for Certain Non-Variable Insurance Products) (PDF)
Date: Oct. 20, 2022 Title: Money Market Fund Statistics- Supporting Data, September 2022 (XLSX)
Date: Oct. 20, 2022 Title: Money Market Fund Statistics, September 2022 (PDF)
Date: Oct. 19, 2022 Title: IM No Action Letters (Permission Granted Pursuant Regulation S-X Rule 3-13 for Certain Non-Variable Insurance Products) (PDF)
Date: Sept. 19, 2022 Title: Money Market Fund Statistics- Supporting Data, August 2022 (XLSX)
Date: Sept. 19, 2022 Title: Money Market Fund Statistics, August 2022 (PDF)
Date: Sept. 1, 2022 Title: IM Staff Releases an Analysis of Money Market Funds in the Treasury Market (PDF)
Date: Aug. 17, 2022 Title: ADI 2022-12 – SEC Yield for Funds That Invest Significantly in TIPS[1]
Date: Aug. 15, 2022 Title: Money Market Fund Statistics- Supporting Data, July 2022 (XLSX)
Date: Aug. 15, 2022 Title: Money Market Fund Statistics, July 2022 (PDF)
Date: July 18, 2022 Title: Money Market Fund Statistics- Supporting Data, June 2022 (XLSX)
Date: July 18, 2022 Title: Money Market Fund Statistics, June 2022 (PDF)
Date: June 23, 2022 Title: IM Staff Releases an Analysis of Prime Money Market Fund Asset Composition and Sales (PDF)
Date: June 16, 2022 Title: Money Market Fund Statistics- Supporting Data, May 2022 (XLSX)
Date: June 16, 2022 Title: Money Market Fund Statistics, May 2022 (PDF)
Date: May 18, 2022 Title: Money Market Fund Statistics- Supporting Data, April 2022 (XLSX)
Date: May 18, 2022 Title: Money Market Fund Statistics, April 2022 (PDF)
Date: April 21, 2022 Title: Money Market Fund Statistics- Supporting Data, March 2022 (XLSX)
Date: April 21, 2022 Title: Money Market Fund Statistics, March 2022 (PDF)
Date: March 15, 2022 Title: Money Market Fund Statistics, February 2022 (PDF)
Date: March 15, 2022 Title: Money Market Fund Statistics- Supporting Data, February 2022 (XLSX)
Date: Feb. 17, 2022 Title: Money Market Fund Statistics- Supporting Data, January 2022 (XLSX)
Date: Feb. 17, 2022 Title: Money Market Fund Statistics, January 2022 (PDF)
Date: Feb. 16, 2022 Title: Derivatives Rule: Updated Reporting Forms Available for Fund Filers
Date: Jan. 20, 2022 Title: Money Market Fund Statistics- Supporting Data, December 2021 (XLSX)
Date: Jan. 20, 2022 Title: Money Market Fund Statistics, December 2021 (PDF)
Date: Dec. 17, 2021 Title: Money Market Fund Statistics, November 2021 (PDF)
Date: Nov. 18, 2021 Title: Money Market Fund Statistics, October 2021 (PDF)
Date: Oct. 29, 2021 Title: Division of Investment Management Staff Statement Regarding Withdrawal and Modification of Staff Letters Related to Rulemaking on Investment Adviser Marketing (PDF)
Date: Oct. 21, 2021 Title: Money Market Fund Statistics, September 2021 (PDF)
Date: Sept. 30, 2021 Title: Wilton Reassurance Life Company of New York (PDF)
Date: Sept. 21, 2021 Title: Money Market Fund Statistics, August 2021 (PDF)
Date: Aug. 16, 2021 Title: Money Market Fund Statistics, July 2021 (PDF)
Date: Aug. 12, 2021 Title: Midland National Life Insurance Company (PDF)
Date: July 21, 2021 Title: IM Staff Releases an Analysis of Prime Money Market Fund Liquidity Buffers (PDF)
Date: July 16, 2021 Title: Money Market Fund Statistics, June 2021 (PDF)
Date: June 17, 2021 Title: Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205 3 under the Investment Advisers Act of 1940 (PDF)
Date: June 15, 2021 Title: SEC, NASAA, and FINRA Offer Free Resource to Securities Firms to Assist in Detection, Prevention and Reporting of Financial Exploitation of Seniors
Date: June 15, 2021 Title: Money Market Fund Statistics, May 2021 (PDF)
Date: May 18, 2021 Title: Money Market Fund Statistics, April 2021 (PDF)
Date: May 11, 2021 Title: Staff Statement on Funds Registered Under the Investment Company Act Investing in the Bitcoin Futures Market
Date: April 21, 2021 Title: Investment Company Reporting Modernization Frequently Asked Questions
Date: April 21, 2021 Title: Money Market Fund Statistics, March 2021 (PDF)
Date: April 15, 2021 Title: IM Staff Releases an Analysis of Prime Money Market Funds at the Onset of the Pandemic (PDF)
Date: April 15, 2021 Title: Division of Investment Management Staff Statement Regarding Termination Notice for Exemptive Relief and Withdrawal of Staff Letters Related to COVID-19 Response
Date: March 30, 2021 Title: Accounting Matters Bibliography
Date: March 30, 2021 Title: From the Chief Accountant, Letter to CFOs (PDF)
Date: March 30, 2021 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: March 16, 2021 Title: Money Market Fund Statistics, February 2021 (PDF)
Date: March 11, 2021 Title: Staff Statement on Investment Company Cross Trading
Date: March 5, 2021 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: Feb. 18, 2021 Title: IM Staff Releases a Primer on Money Market Funds and the Repo Market (PDF)
Date: Feb. 18, 2021 Title: Money Market Fund Statistics, January 2021 (PDF)
Date: Feb. 11, 2021 Title: Transamerica Life Insurance Company and Transamerica Financial Life Insurance Company (PDF)
Date: Feb. 5, 2021 Title: Staff Letter (No action Relief Under Rule 14a-8)
Date: Jan. 25, 2021 Title: Money Market Fund Statistics, December 2020 (PDF)
Date: Jan. 15, 2021 Title: Staff Letter (No-Action Relief under Section 17(f) of the Investment Company Act of 1940 and Rule 17f-2 thereunder)
Date: Jan. 4, 2021 Title: Michelle Beck named Risk Management Fellow, Analytics Office
Date: Dec. 21, 2020 Title: Money Market Fund Statistics, November 2020 - Corrected (PDF)
Date: Dec. 14, 2020 Title: ADI 2020-11 Registered Funds’ Risk Disclosure Regarding Investments in Emerging Markets
Date: Dec. 10, 2020 Title: SEC Staff Supplements Quarterly Private Funds Statistics
Date: Nov. 20, 2020 Title: Staff Statement Regarding Rule 302(b) of Regulation S-T in Light of COVID-19 Concerns
Date: Nov. 20, 2020 Title: Money Market Fund Statistics, October 2020 - Corrected (PDF)
Date: Nov. 17, 2020 Title: Division of Investment Management Staff Statement Regarding New Web Intake Form for No-Action and Interpretive Letter Requests (PDF)
Date: Nov. 10, 2020 Title: Keynote Address: ALI CLE 2020 Conference on Life Insurance Company Products
Date: Nov. 9, 2020 Title: Primer: Money Market Funds and the Commercial Paper Market (PDF)
Date: Nov. 9, 2020 Title: Staff Statement on WY Division of Banking’s “NAL on Custody of Digital Assets and Qualified Custodian Status”
Date: Nov. 6, 2020 Title: IM No Action Letters (Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products) (PDF)
Date: Nov. 6, 2020 Title: IM Information Update (Withdrawal of Staff Letters Related To ETF Rule) (PDF)
Date: Oct. 28, 2020 Title: IM Information Update (Withdrawal of Staff Letters Related To Rulemaking On Fund Of Funds Arrangements) (PDF)
Date: Oct. 23, 2020 Title: From the Chief Accountant, Letter to CFOs (PDF)
Date: Oct. 20, 2020 Title: Money Market Fund Statistics, September 2020 (PDF)
Date: Sept. 30, 2020 Title: Michael Neus Named Private Funds Attorney Fellow, Investment Adviser Regulation Office
Date: Sept. 23, 2020 Title: Money Market Fund Statistics, August 2020 (PDF)
Date: Aug. 21, 2020 Title: Money Market Fund Statistics, July 2020 (PDF)
Date: July 20, 2020 Title: Money Market Fund Statistics, June 2020 (PDF)
Date: July 2, 2020 Title: Holly Miller and David Stevens named Senior Financial Analysts, Analytics Office
Date: June 24, 2020 Title: Staff Statement Regarding Temporary International Mail Service Suspensions to Certain Jurisdictions Related to the COVID-19 Pandemic
Date: June 22, 2020 Title: Money Market Fund Statistics, May 2020 (PDF)
Date: June 19, 2020 Title: Staff Letter (No-action relief pursuant to Rule 14a-8 under the Securities Exchange Act of 1934)
Date: June 11, 2020 Title: IM No Action Letters (Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products) (PDF)
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 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)
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Modified: Dec. 23, 2022

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