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A non-exhaustive list of no-action letters and other staff statements that have been modified or withdrawn is available on our Modified or Withdrawn Staff Statements webpage.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Title Topic Type Withdrawn Last Updated
Semi-annual report of registered investment companies Form N-SAR Forms
Electronic Filing of Form PF for Investment Advisers on PFRD Form PF Forms
Registration statement of separate accounts organized as management investment companies Form N-3/Registration and Disclosure Forms
Form for the registration of securities issued in business combination transactions by investment companies and business development companies Form N-14 Forms
Fund of Funds - Direct Investment Fund of Funds Exemptive Applications
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
Private Funds Statistics Form PF Resources
Registration statement of separate accounts organized as unit investment trusts Form N-4/Registration and Disclosure Forms
Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies Form N-6/Registration and Disclosure Forms
Fund of Funds - Multi-Group Fund of Funds Exemptive Applications
Certified shareholder report of registered management investment companies Form N-CSR/N-Q Forms
IARD Entitlement Forms Form ADV/Registration and Disclosure Rulemaking
Annual Report of Proxy Voting Record of Registered Management Investment Company Form N-PX Forms
Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors Form PF Forms
Official List of Section 13(f) Securities Form 13F Staff Guidance / Other
Registration form for open-end management investment companies Form N-1A/Registration and Disclosure Forms
Exemptive Applications Employee Securities Companies Exemptive Applications
Exchange Traded Funds - Leveraged Exchange Traded Funds (ETFs) Exemptive Applications
Affiliated Sales & Purchases - Adviser Affiliated Transactions/Joint Transactions Exemptive Applications
Joint Transaction Affiliated Transactions/Joint Transactions Exemptive Applications
Co-Investment Business Development Companies Exemptive Applications
Exchange Traded Funds - Active Exchange Traded Funds (ETFs) Exemptive Applications
Co-Investment Closed-End Funds Exemptive Applications
Affiliated Sales & Purchases - In-Kind Affiliated Transactions/Joint Transactions Exemptive Applications
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