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A non-exhaustive list of no-action letters and other staff statements that have been modified or withdrawn is available on our Modified or Withdrawn Staff Statements webpage.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Title Topic Type Withdrawn Last Updated
Electronic Filing for Investment Advisers on IARD Private Fund Advisers Forms
Private Funds Statistics Private Fund Advisers Resources
Downloadable File of Certain Registration Information for All Active SEC-registered Investment Advisers Investment Advisers - General Resources
Form N-MFP Money Market Funds Forms
Exemptive Applications Securities Lending Exemptive Applications
Unit Investment Trusts - Other Unit Investment Trusts (UITs) Exemptive Applications
Inadvertent Investment Companies - 3(b)(2) Status - Investment Company Exemptive Applications
Inadvertent Investment Companies - Other Status - Investment Company Exemptive Applications
Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors Private Fund Advisers Forms
Downloadable File of Certain Registration Information for All Active SEC-registered Investment Advisers Private Fund Advisers Resources
IARD Entitlement Forms Investment Advisers - General Forms
Insurance Products - Bonus Recapture Insured Investments Exemptive Applications
Insurance Products - Substitution Related Affiliated Securities Transactions Insured Investments Exemptive Applications
Form ADV Part 1A Summary of Changes Per IA 4509 To Be Implemented October 1, 2017 Investment Advisers - General Forms
Form 13F (Discretionary Managers with $100M or more of certain securities) Investment Advisers - General Forms
Insurance Products - Exchange Offer Insured Investments Exemptive Applications
Insurance Products - Mixed and Shared Funding Insured Investments Exemptive Applications
Form PF (Reporting for Advisers to Private Funds) Investment Advisers - General Forms
Electronic Filing for Investment Advisers on IARD Investment Advisers - General Forms
Exemptive Applications Ineligible/Disqualified Firms Exemptive Applications
Insurance Products - Fund Substitution Insured Investments Exemptive Applications
Form ADV (Application for Registration and Report for Exempt Reporting Advisers) Investment Advisers - General Forms
Other Forms (ADV-E, ADV-H, ADV-NR, ADV-W) Investment Advisers - General Forms
Small Entity Compliance Guide Form ADV/Registration and Disclosure Staff Guidance / Other
Registration statement for closed-end management investment companies Form N-2/Registration and Disclosure Forms
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