Investment Management

Topical Reference Guide

This Topical Reference Guide is intended to gather into one webpage various resources in areas that may be of interest to practitioners and others. This Topical Reference Guide is not, however, an exhaustive list of staff guidance or other staff information (collectively, “Staff Statements”), resources, or Commission action pertaining to a particular topic. The Division will continue to update these topics with new and historical materials that also can be accessed below.

Staff Statements represent the views of the Division of Investment Management. A Staff Statement is not a rule, regulation or statement of the Commission, and the Commission has neither approved nor disapproved its content.

A non-exhaustive list of no-action letters and other staff statements that have been modified or withdrawn is available on our Modified or Withdrawn Staff Statements webpage.

A compendium of resources related to the law and interpretations concerning disclosure are also available on our Accounting and Disclosure Information (ADI) webpage.

Title Topic Type Withdrawn Last Updated
Investment Company Institute and SIFMA AMG Asset-Backed Securities Issuers Staff Guidance / No-Action and Interpretive Letters
Hercules Capital, Inc., May 11, 2020 Subsidiaries Staff Guidance / No-Action and Interpretive Letters
ADI 2020-10 – Filing and Delivery Obligations for Certain Discontinued Variable Insurance Products Insured Investments Staff Guidance / Other
Division of Investment Management Coronavirus (COVID-19) Response FAQs Emergencies Staff Guidance / FAQ
Investment Company Institute Affiliated Transactions/Joint Transactions Staff Guidance / No-Action and Interpretive Letters
Investment Company Institute, March 19, 2020 Money Market Funds Staff Guidance / No-Action and Interpretive Letters
BlackRock Science and Technology Trust and BlackRock Utilities, Infrastructure & Power Opportunities Trust, March 3, 2020 (Withdrawn) Closed-End Funds Staff Guidance / No-Action and Interpretive Letters Withdrawn
Frequently Asked Questions on Form CRS Form ADV/Registration and Disclosure Staff Guidance / FAQ
Frequently Asked Questions on Form CRS Form CRS Staff Guidance / FAQ
Eaton Vance Tax-Advantaged Dividend Income Fund, et al., December 16, 2019 (Withdrawn) Closed-End Funds Staff Guidance / No-Action and Interpretive Letters Withdrawn
Robert Van Grover Esq., Seward & Kissel LLP Accounting and Auditing Staff Guidance / No-Action and Interpretive Letters
Robert Van Grover Esq., Seward & Kissel LLP Custody - Investment Adviser Staff Guidance / No-Action and Interpretive Letters
Gladstone Investment Corporation Closed-End Funds Staff Guidance / No-Action and Interpretive Letters
From the Chief Accountant, Letter to CFOs Accounting and Auditing Staff Guidance / Other
Accounting Matters Bibliography Accounting and Auditing Staff Guidance / Other
Securities Industry and Financial Markets Association Status - Investment Adviser Staff Guidance / No-Action and Interpretive Letters
Securities Industry and Financial Markets Association Investment Advisers - General Staff Guidance / No-Action and Interpretive Letters
Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation Investment Advisers - General Staff Guidance / FAQ
Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation Form ADV/Registration and Disclosure Staff Guidance / FAQ
Staff Responses to Inquiries Regarding Business Development Companies and Section 61(a) of the Investment Company Act of 1940 Business Development Companies Staff Guidance / FAQ
Inadvertent Investment Companies - Foreign Banks/Insurance Status - Investment Company Exemptive Applications
Electronic Filing for Investment Advisers on IARD Private Fund Advisers Forms
Private Funds Statistics Private Fund Advisers Resources
Form N-MFP Money Market Funds Forms
Downloadable File of Certain Registration Information for All Active SEC-registered Investment Advisers Investment Advisers - General Resources
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