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A non-exhaustive list of no-action letters and other staff statements that have been modified or withdrawn is available on our Modified or Withdrawn Staff Statements webpage.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Title | Topic | Type | Withdrawn | Last Updated Sort descending |
---|---|---|---|---|
ADI 2025-15: Website Posting Requirements | Prospectus Delivery | Staff Guidance / Other | ||
ADI 2025-15: Website Posting Requirements | Money Market Funds | Staff Guidance / Other | ||
ADI 2025-15: Website Posting Requirements | Exchange Traded Funds (ETFs) | Staff Guidance / Other | ||
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 |