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A non-exhaustive list of no-action letters and other staff statements that have been modified or withdrawn is available on our Modified or Withdrawn Staff Statements webpage.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| Title | Topic | Type | Withdrawn | Last Updated Sort ascending |
|---|---|---|---|---|
| Greenwich Capital Acceptance Inc. | Mortgages/Real Estate/REITs | Staff Guidance / No-Action and Interpretive Letters | ||
| NAB Asset Corp. | Mortgages/Real Estate/REITs | Staff Guidance / No-Action and Interpretive Letters | ||
| Citytrust | Mortgages/Real Estate/REITs | Staff Guidance / No-Action and Interpretive Letters | ||
| Delta Government Options Corp., Sept. 27, 1990 | Custody - Investment Company | Staff Guidance / No-Action and Interpretive Letters | ||
| Delta Government Options Corp., July 21, 1989 | Custody - Investment Company | Staff Guidance / No-Action and Interpretive Letters | ||
| United States Property Investment N.V. | Mortgages/Real Estate/REITs | Staff Guidance / No-Action and Interpretive Letters | ||
| United Bankers | Mortgages/Real Estate/REITs | Staff Guidance / No-Action and Interpretive Letters | ||
| M.D.C. Holdings | Mortgages/Real Estate/REITs | Staff Guidance / No-Action and Interpretive Letters | ||
| The State Street Mortgage Co. | Mortgages/Real Estate/REITs | Staff Guidance / No-Action and Interpretive Letters | ||
| Clover Capital Management, Inc. | Advertising/Performance/Social Media | Staff Guidance / No-Action and Interpretive Letters | ||
| First National Bank of Fremont | Mortgages/Real Estate/REITs | Staff Guidance / No-Action and Interpretive Letters | ||
| Salomon Brothers, Inc. | Mortgages/Real Estate/REITs | Staff Guidance / No-Action and Interpretive Letters | ||
| Request for Confidential Treatment Filed by Institutional Investment Managers | Form 13F | Rulemaking | ||
| Health Facility Credit Corp. | Mortgages/Real Estate/REITs | Staff Guidance / No-Action and Interpretive Letters | ||
| Request for Confidential Treatment Filed by Institutional Investment Managers | Form 13F | Rulemaking | ||
| Adams Express Company | Fund Governance | Staff Guidance / No-Action and Interpretive Letters | ||
| Adams Express Company | Securities Lending | Staff Guidance / No-Action and Interpretive Letters | ||
| Baton Rouge Building and Construction Industry Foundation | Mortgages/Real Estate/REITs | Staff Guidance / No-Action and Interpretive Letters | ||
| Northwestern Ohio Building and Construction Trades Foundation | Mortgages/Real Estate/REITs | Staff Guidance / No-Action and Interpretive Letters | ||
| Nottingham Realty Securities | Mortgages/Real Estate/REITs | Staff Guidance / No-Action and Interpretive Letters | ||
| Realex Capital Corporation | Mortgages/Real Estate/REITs | Staff Guidance / No-Action and Interpretive Letters | ||
| American Home Finance Corp. | Mortgages/Real Estate/REITs | Staff Guidance / No-Action and Interpretive Letters | ||
| Request for Confidential Treatment Filed by Institutional Investment Managers | Form 13F | Rulemaking | ||
| Filing and Reporting Requirements Relating to Institutional Investment Managers | Form 13F | Rulemaking | ||
| Division of Investment Management's Interpretative Positions Relating to Rule 13f-1 and Related Form 13F | Form 13F | Rulemaking |