Other

Information Updates

INFO-2023-02 – Updates to Form ADV Frequently Asked Questions
INFO-2023-01 – Expedited Review of Applications & Automatic Withdrawal
INFO-2021-10 – Withdrawal and Modification of Staff Letters Related To Rulemaking on Investment Adviser Marketing
INFO-2021-01 – 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
INFO-2020-06 – Statement Regarding Withdrawal of Staff Letters Related to Exchange-Traded Funds (ETFs)
INFO-2020-05 – Statement Regarding Withdrawal of Staff Letters Related to Rulemaking on Fund of Funds Arrangements
INFO-2020-04 – Statement Regarding Withdrawal of Staff Letters Related to Securities Offering Reform for Closed-End Investment Companies Rulemaking
INFO-2020-03 – Statement on Hearing Requests on Applications Filed Under the Investment Company Act of 1940 and Investment Advisers Act of 1940
INFO-2020-02 – Statement Regarding New Resource for Modified or Withdrawn Staff Statements
INFO-2020-01 – Statement Regarding Withdrawal of Staff Letters Related to Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts Rulemaking
INFO-2019-01 – Website Updates to Investment Company Forms
INFO-2018-02 – Statement Regarding Staff Proxy Advisory Letters
INFO-2018-01 – Updates to Custody Rule Frequently Asked Questions
INFO-2017-07 – Applicability of Staff Accounting Bulletin No. 118 to Investment Companies Impacted by the Tax Cuts and Jobs Act
INFO-2017-06 – Information Update for Advisers Filing Certain Form ADV Amendments
INFO-2017-05 – Updates to Mid-Sized Adviser Frequently Asked Questions
INFO-2017-04 – Updates to Form ADV Frequently Asked Questions
INFO-2017-03 – Information Update for Advisers Relying on the Unibanco No-Action Letters
INFO-2017-02 – Letters to Support Tax Claims in Foreign Jurisdictions
INFO-2017-01 – Updates to Form PF Frequently Asked Questions
INFO-2014-06 – Updates to Form PF Frequently Asked Questions
INFO-2014-05 – Staff Legal Bulletin: Proxy Voting Responsibilities of Investment Advisers
INFO-2014-04 – Updates to Frequently Asked Questions About Form 13F
INFO-2014-03 – Exemptive Applications Review: Comparison Documents
INFO-2014-02 – Division of Investment Management Year in Review
INFO-2014-01 - Updates to Form PF Frequently Asked Questions
INFO-2013-11 - Updates to FAQs About Form 13F
INFO-2013-10 - Updates to Form PF Frequently Asked Questions
INFO-2013-09 - Exchange-Traded Funds Using Affiliated Index Providers
INFO-2013-08 - Updates to FAQs About Form 13F
INFO-2013-07 - Division Extends the Benefits Under Rule 486(b) to Additional Closed End Funds
INFO-2013-06 - Division Launches Money Market Fund Web Page
INFO-2013-05 - Money Market Fund Identifier Numbers Made Available to Public
INFO-2013-04 - Technical Improvements Implemented to Form 13F
INFO-2013-03 - Updates to FAQs About Form 13F
INFO-2013-02 - Improvements to Form 13F
INFO-2013-01 - The Division of Investment Management Posts Office Contact Information

Modified: Oct. 26, 2023

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