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A non-exhaustive list of no-action letters and other staff statements that have been modified or withdrawn is available on our Modified or Withdrawn Staff Statements webpage.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Title Topic Type Withdrawn Last Updated
Nuveen Funds (Nuveen AMT-Free Quality Municipal Income Fund and Nuveen New York AMT-Free Quality Municipal Income Fund) – Omission of Shareholder Proposal Submitted by Karpus Investment Management Proxy Voting/Shareholder Meetings Staff Guidance / No-Action and Interpretive Letters
Committee of Annuity Insurers Redemptions Staff Guidance / No-Action and Interpretive Letters
Highland Opportunities and Income Fund – Omission of Shareholder Proposal Submitted by Allan Hausman Proxy Voting/Shareholder Meetings Staff Guidance / No-Action and Interpretive Letters
Nuveen Funds (Nuveen Real Asset Income and Growth Fund; Nuveen Multi-Asset Income Fund, Nuveen Core Plus Impact Fund) – Omission of Shareholder Proposal Submitted by Saba Capital Management, L.P., on behalf of Saba Capital Master Fund, Ltd. Proxy Voting/Shareholder Meetings Staff Guidance / No-Action and Interpretive Letters
Tailored Shareholder Reports Annual and Semi-Annual Shareholder Reports Staff Guidance / FAQ
Tailored Shareholder Reports Form N-CSR/N-Q Staff Guidance / FAQ
Tailored Shareholder Reports Form N-1A/Registration and Disclosure Staff Guidance / FAQ
Disclosure of Foreign Currency Under Rule 6c-11 Exchange Traded Funds (ETFs) Staff Guidance / Other
Puerto Rico Residents Tax-Free Fund, Inc. (Omission of Shareholder Proposal Submitted by Ocean Capital LLC Proxy Voting/Shareholder Meetings Staff Guidance / No-Action and Interpretive Letters
Carlyle Global Credit Investment Management, L.L.C. Affiliated Transactions/Joint Transactions Staff Guidance / No-Action and Interpretive Letters
Differential Advisory Fee Waivers Advisory Contract/Fees - Investment Adviser Staff Guidance / No-Action and Interpretive Letters
Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors Investment Advisers - General Resources
Staff Statement on Funds Registered Under the Investment Company Act Investing in the Bitcoin Futures Market Form N-1A/Registration and Disclosure Staff Guidance / Other
Investment Adviser Marketing Advertising/Performance/Social Media Staff Guidance / Other
Fund of Funds Arrangements Frequently Asked Questions Fund of Funds Staff Guidance / FAQ
Marketing Compliance Frequently Asked Questions Advertising/Performance/Social Media Staff Guidance / FAQ
Valuation Frequently Asked Questions Affiliated Transactions/Joint Transactions Staff Guidance / FAQ
Staff Statement on Investment Company Cross Trading Affiliated Transactions/Joint Transactions Staff Guidance / Other
Alliance Trust Company of Nevada, March 5, 2021 Private Fund Advisers Staff Guidance / No-Action and Interpretive Letters
Valuation Frequently Asked Questions Valuation Staff Guidance / FAQ
Templeton Emerging Markets Income Fund (Omission of Shareholder Proposal) Proxy Voting/Shareholder Meetings Staff Guidance / No-Action and Interpretive Letters
K&L Gates LLP Custody - Investment Company Staff Guidance / No-Action and Interpretive Letters
Staff Statement on WY Division of Banking’s “NAL on Custody of Digital Assets and Qualified Custodian Status” Custody - Investment Adviser Staff Guidance / Other
Staff Statement Regarding Temporary International Mail Service Suspensions to Certain Jurisdictions Related to the COVID-19 Pandemic International Staff Guidance / Other
Investment Company Institute and SIFMA AMG Affiliated Transactions/Joint Transactions Staff Guidance / No-Action and Interpretive Letters
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