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## Investment Management

-  Divisions and Offices 
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## Investment Management

-  Divisions and Offices 
-  Investment Management  
-  IM Senior Officers 
-  Disclosure 
-  Guidance     -  Topical Reference Guide 
  -  Staff Letters 
  -  Guidance Updates 
  -  Information Updates 
-  Rules 
-  Orders & Notices    -  Notices of Effectiveness 
  -  Investment Company Act  
  -  Investment Advisers Act 
-  Data 
-  Forms 
-  Contact  

# 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A non-exhaustive list of no-action letters and other staff statements that have been modified or withdrawn is available on our Modified or Withdrawn Staff Statements webpage.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:Year:-View All-202420232021202020192018201720162015201420132012201120102009200820072006200520042003200220012000199919981997199619951994199319921991199019891988198719861985198419811979197819771974197319721971197019691960Topics:-View All-Accounting and AuditingAdvertising/Performance/Social MediaAdvisory Contract/Fees - Investment AdviserAdvisory Contract/Fees - Investment CompanyAffiliated Transactions/Joint TransactionsAnnual and Semi-Annual Shareholder ReportsAnti-Money LaunderingAsset-Backed Securities IssuersBest Execution/Soft DollarsBusiness Development CompaniesClosed-End FundsCode of EthicsCommoditiesCompliance - Investment CompaniesCredit RatingsCustody - Investment AdviserCustody - Investment CompanyCybersecurityDerivativesDistribution and Servicing ArrangementsEmergenciesEmployee Benefit Plans/ERISAEmployee Securities CompaniesExchange Traded Funds (ETFs)Family OfficesForm 13FForm ADV Part 3Form ADV/Registration and DisclosureForm CRSForm N-14Form N-1A/Registration and DisclosureForm N-2/Registration and DisclosureForm N-3/Registration and DisclosureForm N-4/Registration and DisclosureForm N-6/Registration and DisclosureForm N-CENForm N-CSR/N-QForm N-PORTForm N-PXForm N-SARForm PFFund GovernanceFund MergersFund of FundsIneligible/Disqualified FirmsInsured InvestmentsInternationalInvestment Advisers - GeneralJOBS ActMoney Market FundsMortgages/Real Estate/REITsPay-to-PlayPortfolio Management - Concentration/DiversificationPortfolio Management - Liquidity/Leverage/Names RulePrivacy/Identity TheftPrivate Fund AdvisersProspectus DeliveryProxy Voting/Shareholder MeetingsReal Estate/REITsRecordkeepingRedemptionsSecurities LendingSenior SecuritiesSolicitation/Referral ArrangementsStatus - Investment AdviserStatus - Investment CompanySubadvisers/Multi-ManagersSubsidiariesTrading Issues - Aggregation/AllocationTrading Issues - Principal/Agency CrossUnit Investment Trusts (UITs)ValuationVolcker RuleWrap Accounts/Separately Managed AccountType:-View All-Staff Guidance / No-Action and Interpretive LettersStaff Guidance / OtherExemptive ApplicationsFormsResourcesRulemakingStaff Guidance / FAQCLEAR ALL Subscribe           Accounting and Auditing    	  TitleTypeWithdrawnLast UpdatedTitle:Robert Van Grover Esq., Seward & Kissel LLPType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 11, 2019Title:From the Chief Accountant, Letter to CFOsType:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 22, 2019Title:Accounting Matters BibliographyType:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 22, 2019Title:Regulation S-XType:Rulemaking          Withdrawn:Last Updated:Aug. 17, 2018Title:Investment Company Reporting Modernization Frequently Asked QuestionsType:Staff Guidance / FAQ          Withdrawn:Last Updated:April 27, 2018Title:Staff Accounting BulletinsType:Staff Guidance / Other          Withdrawn:Last Updated:Dec. 22, 2017Title:Fidelity Management & Research Company et al. (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Sept. 22, 2017Title:Fidelity Management & Research Company et al. (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:June 20, 2016Title:Carey Credit Income Fund et al.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 15, 2015Title:Guidance Regarding Investment Company ConsolidationType:Staff Guidance / Other          Withdrawn:Last Updated:Oct. 31, 2014Title:Robert Van Grover, Esq., Seward & Kissel LLPType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 5, 2013Title:Guidance Regarding Business Development Companies - Separate Financial Statements or Summarized Financial Information of Certain SubsidiariesType:Staff Guidance / Other          Withdrawn:Last Updated:Sept. 27, 2013Title:CopleyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 2, 2013Title:CopleyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 18, 2013Title:Form PFType:Staff Guidance / FAQ          Withdrawn:Last Updated:April 25, 2013Title:CopleyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 5, 2013Title:After-Tax ReturnType:Staff Guidance / Other          Withdrawn:Last Updated:Feb. 22, 2013Title:Guidance for Consulting with the Office of the Chief AccountantType:Staff Guidance / Other          Withdrawn:Last Updated:Dec. 18, 2012Title:Investment Company InstituteType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 5, 2012Title:Work Plan for Global Accounting StandardsType:Resources          Withdrawn:Last Updated:July 13, 2012Title:Business Development Companies- Auditor Verification of Securities OwnedType:Staff Guidance / Other          Withdrawn:Last Updated:March 12, 2012Title:Auditor IndependenceType:Staff Guidance / FAQ          Withdrawn:Last Updated:Dec. 13, 2011Title:Custody RuleType:Staff Guidance / FAQ          Withdrawn:Last Updated:Dec. 13, 2011Title:Technical Amendments to Commission Rules and Forms Related to the FASB's Accounting Standards CodificationType:Rulemaking          Withdrawn:Last Updated:Aug. 8, 2011Title:Seward & KisselType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 21, 2011Title:Codification of Staff Accounting BulletinsType:Staff Guidance / Other          Withdrawn:Last Updated:March 14, 2011Title:American Institute of Certified Public AccountantsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 23, 2010Title:Seward & KissellType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 12, 2010Title:Derivatives-Related Disclosures by Investment CompaniesType:Staff Guidance / Other          Withdrawn:Last Updated:July 30, 2010Title:ABA Retirement Funds ProgramType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 7, 2010Title:Commission Guidance Regarding Independent Public Accountant Engagements Performed Pursuant to Rule 206(4)-2 Under the Investment Advisers Act of 1940- IA 2969Type:Rulemaking          Withdrawn:Last Updated:Dec. 30, 2009Title:Custody of Funds or Securities of Clients by Investment Advisers- IA-2968Type:Rulemaking          Withdrawn:Last Updated:Dec. 30, 2009Title:Valuation of Portfolio Securities and other Assets Held by Registered Investment Companies - Select Bibliography of the Division of Investment ManagementType:Resources          Withdrawn:Last Updated:March 20, 2009Title:Office of the Chief Accountant and FASB Staff Clarifications on Fair Value AccountingType:Staff Guidance / Other          Withdrawn:Last Updated:Sept. 30, 2008Title:Fidelity Gold PortfolioType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 29, 2008Title:NGP Capital ResourcesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 28, 2007Title:Implementation of FASB Interpretation No. 48, Letter to Fidelity Investments, Massachusetts Financial Services Company and OppenheimerFunds, Inc.Type:Staff Guidance / Other          Withdrawn:Last Updated:June 28, 2007Title:Disclosure of Fund of Funds ExpensesType:Staff Guidance / FAQ          Withdrawn:Last Updated:May 23, 2007Title:Implementation of FASB Interpretation No. 48, Letter to ICIType:Staff Guidance / Other          Withdrawn:Last Updated:Dec. 22, 2006Title:DeloitteType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 28, 2006Title:ABA Subcommittee on Private Investment EntitiesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 8, 2005Title:Auditing Standards for Financial Statements of Insurance Company Depositors of Variable Insurance Products, Staff LettersType:Staff Guidance / Other          Withdrawn:Last Updated:March 8, 2005Title:Strengthening the Commission's Requirements Regarding Auditor IndependenceType:Rulemaking          Withdrawn:Last Updated:Jan. 28, 2003Title:Mutual Fund After-Tax Return RequirementsType:Staff Guidance / FAQ          Withdrawn:Last Updated:Jan. 14, 2002Title:From the Chief Accountant, Letter to CFOsType:Staff Guidance / Other          Withdrawn:Last Updated:Feb. 14, 2001Title:Revision of the Commission's Auditor Independence RequirementsType:Rulemaking          Withdrawn:Last Updated:Nov. 21, 2000Title:From the Chief Accountant, Letter to CFOsType:Staff Guidance / Other          Withdrawn:Last Updated:Dec. 30, 1999Title:From the Chief Accountant, Letter to CFOsType:Staff Guidance / Other          Withdrawn:Last Updated:Dec. 30, 1998Title:From the Chief Accountant, Letter to CFOsType:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 7, 1997Title:From the Chief Accountant, Letter to CFOsType:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 1, 1996Title:From the Chief Accountant, Letter to CFOsType:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 2, 1995Title:From the Chief Accountant, Letter to CFOsType:Staff Guidance / Other          Withdrawn:Last Updated:Feb. 3, 1995Title:From the Chief Accountant, Letter to CFOsType:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 1, 1994Title:Accounting Series Release No. 219: Valuation of Debt Instruments by Money Market Funds and Certain Other Open-End Investment CompaniesType:Rulemaking          Withdrawn:Last Updated:May 31, 1977Title:Accounting Series Release No. 118: Accounting for Investment Securities by Registered Investment CompaniesType:Rulemaking          Withdrawn:Last Updated:Dec. 23, 1970Title:Accounting Series Release No. 113: Statement Regarding "Restricted SecuritiesType:Rulemaking          Withdrawn:Last Updated:Oct. 21, 1969          Advertising/Performance/Social Media    	  TitleTypeWithdrawnLast UpdatedTitle:Investment Adviser MarketingType:Staff Guidance / Other          Withdrawn:Last Updated:May 4, 2021Title:Marketing Compliance Frequently Asked QuestionsType:Staff Guidance / FAQ          Withdrawn:Last Updated:March 19, 2021Title:South State BankType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 8, 2018Title:Redwood Trust, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 16, 2017Title:Guidance on the Testimonial Rule and Social MediaType:Staff Guidance / Other          Withdrawn:Last Updated:March 28, 2014Title:Guidance on the Testimonial Rule and Social MediaType:Staff Guidance / Other          Withdrawn:Last Updated:March 15, 2013Title:Regulation of Investment AdvisersType:Resources          Withdrawn:Last Updated:March 1, 2013Title:Prohibition of Fraud by Advisers to Certain Pooled Investment VehiclesType:Rulemaking          Withdrawn:Last Updated:Aug. 3, 2007Title:ABA Subcommittee on Private Investment EntitiesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 10, 2006Title:Franklin Management, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 10, 1998Title:DALBAR, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 24, 1998Title:GE FundsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 7, 1997Title:Clover Capital Management, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 28, 1986          Advisory Contract/Fees - Investment Adviser    	  TitleTypeWithdrawnLast UpdatedTitle:Differential Advisory Fee WaiversType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 2, 2023Title:Amerivest Investment Management, LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 19, 2014Title:Regulation of Investment AdvisersType:Resources          Withdrawn:Last Updated:March 1, 2013Title:The Ayco Company L.P.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 14, 1995Title:George ColmanType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 18, 1995Title:Dean Witter, Discover & Co.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 8, 1993          Advisory Contract/Fees - Investment Company    	  TitleTypeWithdrawnLast UpdatedTitle:Nuveen Fund Advisors, LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 20, 2017Title:American Century Investment Management, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 20, 2016Title:RiverNorthType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 28, 2014Title:RS Global Natural Resources FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 6, 2014Title:Emerging Global Advisors, LLC and EGA Emerging Global Shares TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 27, 2013Title:Claymore Advisors, LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 27, 2010Title:Franklin Templeton InvestmentsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 19, 2009Title:Fortis Group, et al.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Jan. 27, 2009Title:First Trust/Gallatin Specialty Finance and Financial Opportunities FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 11, 2008Title:Citigroup Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 26, 2006Title:Eaton Vance Special Investment Trust, et alType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 30, 2004Title:Gartmore Mutual FundsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 19, 2004Title:Constellation Financial Management LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Jan. 9, 2003Title:The Chase Manhattan BankType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 24, 2001Title:Daughters of Charity National Health System, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 3, 1998Title:Franklin Templeton Group of FundsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 23, 1997Title:Century Shares TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 4, 1994Title:Dean Witter, Discover & Co.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 8, 1993          Affiliated Transactions/Joint Transactions    	  TitleTypeWithdrawnLast UpdatedTitle:Carlyle Global Credit Investment Management, L.L.C.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 19, 2023Title:Valuation Frequently Asked QuestionsType:Staff Guidance / FAQ          Withdrawn:Last Updated:March 18, 2021Title:Staff Statement on Investment Company Cross TradingType:Staff Guidance / Other          Withdrawn:Last Updated:March 11, 2021Title:Investment Company Institute and SIFMA AMGType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 27, 2020Title:Investment Company InstituteType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 26, 2020Title:Affiliated Sales & Purchases - AdviserType:Exemptive Applications          Withdrawn:Last Updated:Title:Affiliated Sales & Purchases - In-KindType:Exemptive Applications          Withdrawn:Last Updated:Title:Affiliated Sales & Purchases - OtherType:Exemptive Applications          Withdrawn:Last Updated:Title:Joint TransactionType:Exemptive Applications          Withdrawn:Last Updated:Title:Mutual of America Capital Management LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 26, 2017Title:Russell Investment Management, LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 16, 2016Title:Guidance Regarding Acceptance of Gifts or Entertainment by Fund Advisory PersonnelType:Staff Guidance / Other          Withdrawn:Last Updated:Feb. 23, 2015Title:Guidance Regarding Business Development Companies-Transactions with Certain Second-Tier AffiliatesType:Staff Guidance / Other          Withdrawn:Last Updated:Dec. 5, 2014Title:Series Investment Companies:Â  Affiliated TransactionsType:Staff Guidance / Other          Withdrawn:Last Updated:June 6, 2014Title:Fifth Street Finance Corp.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 25, 2010Title:Allianz FundsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 3, 2009Title:Columbia Funds Series Trust - Columbia Cash ReservesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 2, 2009Title:Columbia Funds Series Trust - Columbia Money Market ReservesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 2, 2009Title:Columbia Funds, et al.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 23, 2008Title:Columbia Funds Series TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 22, 2008Title:Advantus Series FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 20, 2008Title:Dreyfus Cash Management PlusType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 20, 2008Title:Dreyfus Money FundsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 20, 2008Title:Dreyfus Cash Management, et al.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 25, 2008Title:Goldman Sachs TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 19, 2008Title:Allianz Dresdner Daily Asset FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 5, 2008Title:First American Funds, Inc. - Prime Obligation FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 3, 2007Title:Gartmore Variable Insurance TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 29, 2006Title:GuideStone Financial, et al.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 27, 2006Title:Federated Municipal FundsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 20, 2006Title:Citigroup Global Markets, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 26, 2006Title:Citigroup Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 26, 2006Title:GE Institutional FundsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 21, 2005Title:Evergreen Investment Management Company LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 11, 2005Title:GE Life and Annuity Assurance CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 25, 2004Title:AAL Mutual Funds, et al. (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Dec. 12, 2002Title:Evergreen Investment Management Company, LLC (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Feb. 13, 2002Title:AIM Advisors, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 12, 2002Title:Government Securities Clearing CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 19, 2001Title:Calvert Social Index FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 24, 2001Title:The Chase Manhattan BankType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 24, 2001Title:Massachusetts Mutual LifeType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 28, 2000Title:Massachusetts Mutual LifeType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 7, 2000Title:Drinker, Biddle & ReathType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 18, 1998Title:The Eaton Vance Group of Investment CompaniesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 25, 1997Title:Alliance FundsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 25, 1997Title:Dean Witter World Wide Investment TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 17, 1996Title:Dreyfus Asset Allocation Fund, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 14, 1996Title:Financial Services BoardType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 24, 1996Title:DFA Investment TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 21, 1996Title:DFA Investment Trust CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 17, 1995Title:ACM Institutional Reserves, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 14, 1995Title:Alliance Municipal TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 14, 1995Title:California Municipal Cash TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 11, 1995Title:Chief Financial OfficerType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 1, 1994Title:Federated InvestorsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 21, 1994Title:The Capitol Mutual Funds and Nations Fund TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 24, 1994Title:Defined Asset Funds - Equity Income Fund - Select Ten SeriesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 5, 1993Title:United Municipal No Action Letter Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 30, 1992          Anti-Money Laundering    	  TitleTypeWithdrawnLast UpdatedTitle:Trading and Markets No-Action Letter: Securities Industry and Financial Markets AssociationType:Resources          Withdrawn:Last Updated:Jan. 11, 2011Title:FINCEN Final Rule: Amendment to the Bank Secrecy Act Regulations; Defining Mutual Funds as Financial InstitutionsType:Resources          Withdrawn:Last Updated:April 14, 2010Title:Joint Release; Guidance on Obtaining and Retaining Beneficial Ownership InformationType:Resources          Withdrawn:Last Updated:March 5, 2010Title:Anti-Money Laundering (AML) Source Tool for Broker-DealersType:Resources          Withdrawn:Last Updated:Jan. 14, 2010Title:Anti-Money Laundering (AML) Source Tool for Mutual FundsType:Resources          Withdrawn:Last Updated:Jan. 14, 2010Title:Trading and Markets No-Action Letter: Securities Industry and Financial Markets AssociationType:Resources          Withdrawn:Last Updated:Jan. 11, 2010Title:Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association, extending February 12, 2004 letterType:Resources          Withdrawn:Last Updated:Jan. 10, 2008Title:Financial Crimes Enforcement Network; Requests by Law Enforcement for Financial Institutions to Maintain Accounts, U.S. Treasury guidanceType:Resources          Withdrawn:Last Updated:June 13, 2007Title:Financial Crimes Enforcement Network; Suspicious Activity Report Supporting DocumentationType:Resources          Withdrawn:Last Updated:June 13, 2007Title:FinCEN Delays Implementation of Revised Suspicious Activity Report (SAR) FormsType:Resources          Withdrawn:Last Updated:April 26, 2007Title:Frequently Asked Questions; Suspicious Activity Reporting Requirements for Mutual FundsType:Resources          Withdrawn:Last Updated:Oct. 4, 2006Title:Trading and Markets No-Action Letter: Securities Industry Association, extending further February 12, 2004 letterType:Resources          Withdrawn:Last Updated:July 11, 2006Title:Application of the Regulations regarding Special Due Diligence Programs for Certain Foreign Accounts to NSCC Fund/SERV AccountsType:Resources          Withdrawn:Last Updated:May 3, 2006Title:Financial Crimes Enforcement Network; Amendment to the Bank Secrecy Act Regulations - Requirement That Mutual Funds Report Suspicious TransactionsType:Resources          Withdrawn:Last Updated:April 27, 2006Title:Question and Answer Regarding Broker-Dealer Customer Identification Rule (31 CFR 103.122) Responsibilities under the Agency Lending Disclosure InitiativeType:Resources          Withdrawn:Last Updated:April 26, 2006Title:Trading and Markets No-Action Letter: Securities Industry Association, extending February 12, 2004 letterType:Resources          Withdrawn:Last Updated:Feb. 10, 2005Title:Trading and Markets No-Action Letter: Securities Industry AssociationType:Resources          Withdrawn:Last Updated:Feb. 12, 2004Title:Question and Answer Regarding the Broker-Dealer Customer Identification Program RuleType:Resources          Withdrawn:Last Updated:Oct. 1, 2003Title:Questions and Answers Regarding the Mutual Fund Customer Identification Program RuleType:Staff Guidance / FAQ          Withdrawn:Last Updated:Aug. 11, 2003Title:Questions and Answers Regarding the Mutual Fund Customer Identification Program RuleType:Resources          Withdrawn:Last Updated:Aug. 11, 2003Title:Customer Identification Programs for Mutual FundsType:Resources          Withdrawn:Last Updated:April 29, 2003Title:Report to Congress under the USA PATRIOT Act containing recommendations for applying anti-money laundering controls to investment companiesType:Resources          Withdrawn:Last Updated:Dec. 31, 2002Title:SEC-SIA Anti-Money Laundering Webcast Scheduled for Monday, November 25, 2002Type:Resources          Withdrawn:Last Updated:Oct. 18, 2002Title:Proposed Amendment to the Bank Secrecy Act Rules â€” Requirement That Insurance Companies Report Suspicious TransactionsType:Resources          Withdrawn:Last Updated:Oct. 17, 2002Title:Proposed Amendment to the Bank Secrecy Act Rules â€” Anti-Money Laundering Programs for Unregistered Investment CompaniesType:Resources          Withdrawn:Last Updated:Sept. 26, 2002Title:Proposed Amendment to the Bank Secrecy Act Rules â€” Customer Identification Programs for Broker-DealersType:Resources          Withdrawn:Last Updated:July 23, 2002Title:Proposed Amendment to the Bank Secrecy Act Rules â€” Customer Identification Programs for Mutual FundsType:Resources          Withdrawn:Last Updated:July 23, 2002Title:Amendment to the Bank Secrecy Act Rules â€” Requirement that Brokers or Dealers in Securities Report Suspicious TransactionsType:Resources          Withdrawn:Last Updated:July 1, 2002Title:Proposed Rule â€” Due Diligence Anti-Money Laundering Programs for Certain Foreign Accounts Implementing Section 312 of the USA PATRIOT ACTType:Resources          Withdrawn:Last Updated:May 30, 2002Title:Anti-Money Laundering Programs for Mutual FundsType:Resources          Withdrawn:Last Updated:April 24, 2002Title:Order Approving Proposed Rule Changes Relating to Anti-Money Laundering Compliance ProgramsType:Resources          Withdrawn:Last Updated:April 22, 2002Title:Proposed Amendment to the Bank Secrecy Act â€” Requirement of Brokers or Dealers in Securities to Report Suspicious TransactionsType:Resources          Withdrawn:Last Updated:Dec. 21, 2001          Asset-Backed Securities Issuers    	  TitleTypeWithdrawnLast UpdatedTitle:Investment Company Institute and SIFMA AMGType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 27, 2020Title:Treatment of Asset-Backed Issuers under the Investment Company ActType:Rulemaking          Withdrawn:Last Updated:Aug. 31, 2011Title:Franklin Templeton InvestmentsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 19, 2009Title:Citibank, N.A.Type:Exemptive Applications          Withdrawn:Last Updated:April 20, 2009Title:Deutsche Bank Trust Company AmericasType:Exemptive Applications          Withdrawn:Last Updated:Dec. 28, 2006Title:Credit Suisse First BostonType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 9, 1998Title:Nebraska Higher Education Loan Program Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 4, 1998Title:Federated InvestorsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 8, 1997Title:ESI S.A.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 2, 1995Title:Global Exempt Certificates of Ownership in NHA MBS Securities Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 30, 1994Title:Donaldson, Lufkin & Jenrette Securities CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 26, 1994Title:Brown & WoodType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 24, 1994Title:Exclusion From the Definition of Investment Company for Certain Structured FinancingsType:Rulemaking          Withdrawn:Last Updated:Nov. 19, 1992Title:Exclusion From the Definition of Investment Company for Certain Structured FinancingsType:Rulemaking          Withdrawn:Last Updated:May 29, 1992Title:Protecting Investors: A Half Century of Investment CompanyÂ  RegulationType:Resources          Withdrawn:Last Updated:May 1, 1992          Business Development Companies    	  TitleTypeWithdrawnLast UpdatedTitle:Staff Responses to Inquiries Regarding Business Development Companies and Section 61(a) of the Investment Company Act of 1940Type:Staff Guidance / FAQ          Withdrawn:Last Updated:Oct. 17, 2019Title:Business Development Companies - Capital StructureType:Exemptive Applications          Withdrawn:Last Updated:Title:Business Development Companies - CompensationType:Exemptive Applications          Withdrawn:Last Updated:Title:Co-InvestmentType:Exemptive Applications          Withdrawn:Last Updated:Title:New Mountain Finance CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 18, 2014Title:Guidance Regarding Business Development Companies-Transactions with Certain Second-Tier AffiliatesType:Staff Guidance / Other          Withdrawn:Last Updated:Dec. 5, 2014Title:Business Development Companies with Wholly-Owned SBIC Subsidiaries-Asset Coverage RequirementsType:Staff Guidance / Other          Withdrawn:Last Updated:June 27, 2014Title:Main Street Capital CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 7, 2013Title:New Mountain Finance CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 4, 2013Title:MCG Capital CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 27, 2013Title:Joint Transactions â€” Portfolio Holdings of Companies Electing Status as Business Development Companies (BDCs)Type:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 27, 2012Title:Business Development Company Report DatasetType:Resources          Withdrawn:Last Updated:Oct. 23, 2012Title:Business Development Companies â€” Auditor Verification of Securities OwnedType:Staff Guidance / Other          Withdrawn:Last Updated:March 12, 2012Title:Definition of Eligible Portfolio Company under the Investment Company Act of 1940Type:Rulemaking          Withdrawn:Last Updated:Oct. 25, 2006          Closed-End Funds    	  TitleTypeWithdrawnLast UpdatedTitle:BlackRock Science and Technology Trust and BlackRock Utilities, Infrastructure & Power Opportunities Trust, March 3, 2020 (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:March 3, 2020Title:Eaton Vance Tax-Advantaged Dividend Income Fund, et al., December 16, 2019 (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Dec. 16, 2019Title:Gladstone Investment CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 5, 2019Title:Co-InvestmentType:Exemptive Applications          Withdrawn:Last Updated:Title:Eagle Point Credit Company Inc. (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Feb. 14, 2018Title:PIMCO Dynamic Income Fund (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Dec. 12, 2017Title:Nuveen California Select Tax-Free Income Portfolio (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Nov. 21, 2017Title:Nuveen Municipal Income Fund, Inc. et al. (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:July 27, 2017Title:Ironwood Multi-Strategy Fund LLC and Ironwood Institutional Multi-Strategy Fund LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 19, 2017Title:Guggenheim Credit Allocation Fund (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:April 5, 2017Title:Invesco Senior Income Trust, et al. (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Jan. 25, 2017Title:The Herzfeld Caribbean Basin Fund, Inc. (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Sept. 21, 2016Title:BlackRock Health Sciences Trust (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Feb. 25, 2016Title:Fiduciary/Claymore MLP Opportunity Fund (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Jan. 7, 2016Title:Nuveen Credit Strategies Income Fund, et al. (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Nov. 7, 2014Title:Guggenheim Strategic Opportunities Fund (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Oct. 2, 2014Title:The Gabelli Convertible & Income Securities Fund, Inc., et al. (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:April 18, 2014Title:The Mexico Fund, Inc. (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Dec. 31, 2013Title:Aberdeen Asia-Pacific Income Fund, Inc. (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:June 26, 2013Title:Credit Suisse High Yield Bond Fund and Credit Suisse Asset Management Income Fund, Inc. (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:June 26, 2013Title:Eaton Vance, et al. (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:June 26, 2013Title:First Trust, et al. (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:June 26, 2013Title:John Hancock Investors Trust and John Hancock Tax-Advantaged Global Shareholder Yield Fund (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:June 26, 2013Title:NexPoint Credit Strategies Fund (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:June 26, 2013Title:Nuveen, et al (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:June 26, 2013Title:Closed-End Fund Information DatasetType:Resources          Withdrawn:Last Updated:Oct. 23, 2012Title:Aberdeen Australia Equity Fund, Inc., Aberdeen Chile Fund, Inc. and Aberdeen Global Income Fund, Inc. (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:April 12, 2012Title:FQF Trust, et al. (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Dec. 13, 2011Title:Franklin Templeton InvestmentsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 19, 2009Title:Aberdeen Australia Equity Fund, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 13, 2006Title:College and University Facility Loan Trust One, et al.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 29, 2004Title:France Growth Fund, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 15, 2003Title:Frank Russell Investment Company, et al. (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Oct. 18, 2002Title:Dessauer Global Equity FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 3, 1997          Code of Ethics    	  TitleTypeWithdrawnLast UpdatedTitle:Code of Ethics Guidance for Investment AdvisersType:Staff Guidance / Other          Withdrawn:Last Updated:June 26, 2015Title:Regulation of Investment AdvisersType:Resources          Withdrawn:Last Updated:March 1, 2013Title:Investment Adviser Codes of EthicsType:Rulemaking          Withdrawn:Last Updated:July 2, 2004          Commodities    	  TitleTypeWithdrawnLast UpdatedTitle:Money Market Fund ReformType:Rulemaking          Withdrawn:Last Updated:Feb. 23, 2010Title:Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying SecuritiesType:Rulemaking          Withdrawn:Last Updated:July 5, 2001          Compliance - Investment Companies    	  TitleTypeWithdrawnLast UpdatedTitle:Nuveen Fund Advisors, LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 20, 2017Title:Business Continuity Planning for Registered Investment CompaniesType:Staff Guidance / Other          Withdrawn:Last Updated:June 28, 2016Title:Cybersecurity GuidanceType:Staff Guidance / Other          Withdrawn:Last Updated:April 28, 2015Title:Series Investment Companies:Â  Affiliated TransactionsType:Staff Guidance / Other          Withdrawn:Last Updated:June 6, 2014Title:Shareholder Notices of the Sources of Fund Distributions - Electronic DeliveryType:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 7, 2013Title:Compliance With Exemptive OrdersType:Staff Guidance / Other          Withdrawn:Last Updated:May 10, 2013Title:Affiliated Funds of Funds â€” Section 12(d)(1) of the Investment Company ActType:Staff Guidance / Other          Withdrawn:Last Updated:Oct. 19, 2012Title:Advisory Contracts â€” Combined Investment Advisory and Service FeesType:Staff Guidance / Other          Withdrawn:Last Updated:Oct. 5, 2012Title:Investment Company Series and Class Information DatasetType:Resources          Withdrawn:Last Updated:July 20, 2012Title:Funds Using Tender Option Bond (TOB) FinancingsType:Staff Guidance / Other          Withdrawn:Last Updated:March 29, 2012Title:Rule 18f-3 under the Investment Company Act â€” Removal of a ClassType:Staff Guidance / Other          Withdrawn:Last Updated:Sept. 2, 2010Title:Derivatives-Related Disclosures by Investment Companies, Letter to ICIType:Staff Guidance / FAQ          Withdrawn:Last Updated:July 30, 2010Title:Claymore Advisors, LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 27, 2010Title:Proxy Disclosure Enhancements Transition for Registered Investment CompaniesType:Staff Guidance / FAQ          Withdrawn:Last Updated:Dec. 23, 2009Title:Registered Investment Company Use of Senior Securities â€” Select BibliographyType:Resources          Withdrawn:Last Updated:Sept. 24, 2008Title:Cabot Wellington, LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 17, 2008Title:Funds Use of Rule 22c-2 Information for Marketing Purposes, Letter to ICIType:Staff Guidance / Other          Withdrawn:Last Updated:Aug. 21, 2007Title:Cooley Godward & KronishType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 12, 2007Title:Staff Responses to Questions Regarding Disclosure of Fund of Funds ExpensesType:Staff Guidance / FAQ          Withdrawn:Last Updated:May 23, 2007Title:College and University Facility Loan Trust One, et al.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 29, 2004Title:Cantor Fitzgerald & CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 17, 2004Title:Compliance Programs of Investment Companies and Investment AdvisersType:Rulemaking          Withdrawn:Last Updated:Dec. 17, 2003Title:Disclosure by Funds Investing in Government Sponsored Enterprises, Letter to ICIType:Staff Guidance / Other          Withdrawn:Last Updated:Oct. 17, 2003Title:Questions and Answers Regarding the Mutual Fund Customer Identification Program RuleType:Staff Guidance / FAQ          Withdrawn:Last Updated:Aug. 11, 2003Title:Delayed Exchange of Fund Shares, Letter to ICIType:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 13, 2002Title:Frequently Asked Questions About Mutual Fund After-Tax Return RequirementsType:Staff Guidance / Other          Withdrawn:Last Updated:Jan. 14, 2002Title:Frequently Asked Questions about Rule 35d-1 (Investment Company Names)Type:Staff Guidance / FAQ          Withdrawn:Last Updated:Dec. 4, 2001Title:Calvert Social Index FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 24, 2001Title:2001 Mutual Fund Fee ReportType:Resources          Withdrawn:Last Updated:Jan. 10, 2001Title:2001 Mutual Fund Fee ReportType:Resources          Withdrawn:Last Updated:Jan. 10, 2001Title:Role of Independent Investment Company DirectorsType:Resources          Withdrawn:Last Updated:Feb. 24, 1999Title:Form N-1A and Rule 498, Letter to the ICIType:Staff Guidance / Other          Withdrawn:Last Updated:Oct. 2, 1998Title:Form N-1A and Rule 498, Letter to ICIType:Staff Guidance / Other          Withdrawn:Last Updated:May 19, 1998Title:GE FundsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 7, 1997Title:Cornish & Carey Commercial Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 26, 1996Title:Caxton CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 28, 1994Title:Protecting Investors: A Half Century of Investment Company RegulationType:Resources          Withdrawn:Last Updated:May 1, 1992          Credit Ratings    	  TitleTypeWithdrawnLast UpdatedTitle:Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund RuleType:Rulemaking          Withdrawn:Last Updated:July 23, 2014Title:References to Ratings of Nationally Recognized Statistical Rating OrganizationsType:Rulemaking          Withdrawn:Last Updated:Oct. 5, 2009          Custody - Investment Adviser    	  TitleTypeWithdrawnLast UpdatedTitle:Staff Statement on WY Division of Banking’s “NAL on Custody of Digital Assets and Qualified Custodian Status”Type:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 9, 2020Title:Robert Van Grover Esq., Seward & Kissel LLPType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 11, 2019Title:Engaging on Non-DVP Custodial Practices and Digital AssetsType:Staff Guidance / Other          Withdrawn:Last Updated:March 12, 2019Title:Inadvertent Custody: Advisory Contract Versus Custodial Contract AuthorityType:Staff Guidance / Other          Withdrawn:Last Updated:Feb. 21, 2017Title:Investment Adviser AssociationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 21, 2017Title:Robert Van Grover, Esq., Seward & Kissel LLPType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 4, 2016Title:Investment Adviser AssociationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 25, 2016Title:16th Amendment Advisors LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 23, 2015Title:Private Funds and the Application of the Custody Rule to Special Purpose Vehicles and EscrowsType:Staff Guidance / Other          Withdrawn:Last Updated:June 26, 2014Title:Robert Van Grover, Esq., Seward & Kissel LLPType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 5, 2013Title:Privately Offered Securities under the Investment Advisers Act Custody RuleType:Staff Guidance / Other          Withdrawn:Last Updated:Aug. 1, 2013Title:Regulation of Investment AdvisersType:Resources          Withdrawn:Last Updated:March 1, 2013Title:Staff Responses to Questions About the Custody RuleType:Staff Guidance / FAQ          Withdrawn:Last Updated:Dec. 13, 2011Title:Custody of Funds or Securities of Clients by Investment AdvisersType:Rulemaking          Withdrawn:Last Updated:Dec. 30, 2009Title:Deloitte & Touche LLPType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 28, 2006Title:ABA Subcommittee on Private Investment EntitiesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 10, 2006          Custody - Investment Company    	  TitleTypeWithdrawnLast UpdatedTitle:K&L Gates LLPType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Jan. 15, 2021Title:Chicago Mercantile ExchangeType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 19, 2017Title:ICE Clear Credit LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 19, 2017Title:LCH Limited and LCH.Clearnet LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 19, 2017Title:Depository Trust Company of Delaware, LLC dba Delaware DepositoryType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 12, 2016Title:Chicago Mercantile ExchangeType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 29, 2015Title:ICE Clear Credit LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 29, 2015Title:LCH.Clearnet Limited and LCH.Clearnet LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 29, 2015Title:Chicago Mercantile ExchangeType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 19, 2014Title:ICE Clear Credit LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 19, 2014Title:LCH.Clearnet Limited and LCH.Clearnet LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 19, 2014Title:The Brink's CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 11, 2014Title:Chicago Mercantile ExchangeType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 26, 2013Title:ICE Clear Credit LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 26, 2013Title:LCH.Clearnet Limited and LCH.Clearnet LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 26, 2013Title:Chicago Mercantile ExchangeType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 27, 2012Title:Chicago Mercantile ExchangeType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 27, 2012Title:Staff Responses to Questions About the Custody RuleType:Staff Guidance / FAQ          Withdrawn:Last Updated:Dec. 13, 2011Title:Chicago Mercantile ExchangeType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 29, 2011Title:Chicago Mercantile ExchangeType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 29, 2011Title:Chicago Mercantile ExchangeType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 24, 2011Title:CME Group, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 3, 2010Title:CME Group, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 16, 2010Title:Franklin Templeton InvestmentsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 19, 2009Title:Franklin Templeton InvestmentsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 21, 2008Title:Fixed Income Clearing CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 13, 2003Title:Custody of Investment Company Assets Outside the United StatesType:Rulemaking          Withdrawn:Last Updated:April 27, 2000Title:Chase Manhattan BankType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 12, 1998Title:Depository Clearing CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 19, 1997Title:Bucharest Stock ExchangeType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 3, 1997Title:Eaton Vance South Asia PortfolioType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 12, 1997Title:Financial Services BoardType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 24, 1996Title:The Canadian Depository for Securities LimitedType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 4, 1994Title:David S. ButterworthType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Jan. 27, 1994Title:Custody of B Shares Trading on the Shenzhen and Shanghai Securities ExchangesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 26, 1993Title:Delta Government Options Corp., Sept. 27, 1990Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 27, 1990Title:Delta Government Options Corp., July 21, 1989Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 21, 1989          Cybersecurity    	  TitleTypeWithdrawnLast UpdatedTitle:Cybersecurity GuidanceType:Staff Guidance / Other          Withdrawn:Last Updated:April 28, 2015Title:Cybersecurity RoundtableType:Resources          Withdrawn:Last Updated:March 26, 2014          Derivatives    	  TitleTypeWithdrawnLast UpdatedTitle:Derivatives-Related Disclosures by Investment Companies, Letter to ICIType:Staff Guidance / Other          Withdrawn:Last Updated:July 30, 2010          Distribution and Servicing Arrangements    	  TitleTypeWithdrawnLast UpdatedTitle:Frequently Asked Questions on IM Guidance Update 2016-06 (Mutual Fund Fee Structures)Type:Staff Guidance / FAQ          Withdrawn:Last Updated:Feb. 15, 2017Title:Capital GroupType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Jan. 11, 2017Title:Mutual Fund Distribution and Sub-Accounting FeesType:Staff Guidance / Other          Withdrawn:Last Updated:Jan. 6, 2016Title:Rule 12b-1 RoundtableType:Resources          Withdrawn:Last Updated:June 19, 2007Title:Linsco/Private Ledger Corp.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 1, 1994Title:Charles Schwab & Co.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 28, 1992Title:Investment Management Division Report - Mutual Fund Distribution and Section 22(d) of the Investment Company Act (August 1974)Type:Resources          Withdrawn:Last Updated:Nov. 4, 1974          Emergencies    	  TitleTypeWithdrawnLast UpdatedTitle:Division of Investment Management Coronavirus (COVID-19) Response FAQsType:Staff Guidance / FAQ          Withdrawn:Last Updated:April 14, 2020Title:Apply for GETS CardsType:Resources          Withdrawn:Last Updated:Title:Alliance FundsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 25, 1997          Employee Benefit Plans/ERISA    	  TitleTypeWithdrawnLast UpdatedTitle:Investment Company Institute, et al.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 16, 2015Title:American Retirement AssociationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 18, 2015Title:Invesco Advisers, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 8, 2014Title:ABA Retirement FundsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 25, 2013Title:Department of LaborType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 26, 2011Title:General Motors Investment ManagementType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 20, 2000Title:Department of LaborType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 5, 1995Title:Edward H. FleischmanType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 30, 1994Title:County of Los AngelesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Jan. 27, 1993          Employee Securities Companies    	  TitleTypeWithdrawnLast UpdatedTitle:Exemptive ApplicationsType:Exemptive Applications          Withdrawn:Last Updated:Title:Employees' Securities Companies and EscheatmentType:Staff Guidance / Other          Withdrawn:Last Updated:Oct. 27, 2015Title:Tudor Employee Investment Fund LLC and Tudor Investment CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 28, 2015Title:BSC Employee Fund, L.P.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 14, 1997          Exchange Traded Funds (ETFs)    	  TitleTypeWithdrawnLast UpdatedTitle:Disclosure of Foreign Currency Under Rule 6c-11Type:Staff Guidance / Other          Withdrawn:Last Updated:Jan. 19, 2024Title:Exchange Traded Funds - ActiveType:Exemptive Applications          Withdrawn:Last Updated:Title:Exchange Traded Funds - IndexType:Exemptive Applications          Withdrawn:Last Updated:Title:Exchange Traded Funds - LeveragedType:Exemptive Applications          Withdrawn:Last Updated:Title:Investment Company Liquidity Risk Management Programs Frequently Asked QuestionsType:Staff Guidance / FAQ          Withdrawn:Last Updated:Jan. 10, 2018Title:SPDR S&P Dividend ETFType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 28, 2016Title:SPDR Series Trust, et al.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 24, 2015Title:Merger of Two Exchange-Traded FundsType:Staff Guidance / Other          Withdrawn:Last Updated:Sept. 25, 2013Title:Derivatives Use by Actively-Managed ETFsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 6, 2012          Family Offices    	  TitleTypeWithdrawnLast UpdatedTitle:Guidance Regarding Key Employee Trusts Under the Family Office RuleType:Staff Guidance / Other          Withdrawn:Last Updated:Dec. 22, 2014Title:Staff Responses to Questions About the Family Office RuleType:Staff Guidance / FAQ          Withdrawn:Last Updated:April 27, 2012Title:Peter Adamson IIIType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 3, 2012Title:Family OfficesType:Rulemaking          Withdrawn:Last Updated:June 22, 2011          Form 13F    	  TitleTypeWithdrawnLast UpdatedTitle:Official List of Section 13(f) SecuritiesType:Staff Guidance / Other          Withdrawn:Last Updated:Title:Information required of institutional investment managers pursuant to Section 13(f)Type:Forms          Withdrawn:Last Updated:Title:Frequently Asked Questions About Form 13FType:Staff Guidance / FAQ          Withdrawn:Last Updated:March 15, 2017Title:Guidance Update: Form 13F Confidential Treatment Requests Based on a Claim of Ongoing Acquisition/Disposition ProgramType:Staff Guidance / Other          Withdrawn:Last Updated:Oct. 1, 2013Title:Regulation of Investment AdvisersType:Resources          Withdrawn:Last Updated:March 1, 2013Title:Rulemaking for EDGAR SystemType:Rulemaking          Withdrawn:Last Updated:Jan. 12, 1999Title:Section 13(f) Confidential Treatment RequestsType:Staff Guidance / Other          Withdrawn:Last Updated:June 17, 1998Title:Rulemaking for EDGAR SystemType:Rulemaking          Withdrawn:Last Updated:July 1, 1997Title:Request for Confidential Treatment Filed by Institutional Investment ManagersType:Rulemaking          Withdrawn:Last Updated:May 14, 1985Title:Request for Confidential Treatment Filed by Institutional Investment ManagersType:Rulemaking          Withdrawn:Last Updated:Dec. 5, 1984Title:Request for Confidential Treatment Filed by Institutional Investment ManagersType:Rulemaking          Withdrawn:Last Updated:June 28, 1979Title:Filing and Reporting Requirements Relating to Institutional Investment ManagersType:Rulemaking          Withdrawn:Last Updated:Jan. 5, 1979Title:Division of Investment Management's Interpretative Positions Relating to Rule 13f-1 and Related Form 13FType:Rulemaking          Withdrawn:Last Updated:Nov. 2, 1978Title:Filing and Reporting Requirements Relating to Institutional lnvestment ManagersType:Rulemaking          Withdrawn:Last Updated:June 15, 1978Title:Reporting by Institutional Investment Managers of Information with Respect to Accounts over Which Investment Discretion Is ExercisedType:Rulemaking          Withdrawn:Last Updated:March 22, 1977          Form ADV/Registration and Disclosure    	  TitleTypeWithdrawnLast UpdatedTitle:Frequently Asked Questions on Form CRSType:Staff Guidance / FAQ          Withdrawn:Last Updated:Feb. 11, 2020Title:Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser CompensationType:Staff Guidance / FAQ          Withdrawn:Last Updated:Oct. 18, 2019Title:IARD Entitlement FormsType:Rulemaking          Withdrawn:Last Updated:Title:Small Entity Compliance GuideType:Staff Guidance / Other          Withdrawn:Last Updated:Title:Uniform Application for Investment Adviser Registration and Report by Exempt Reporting AdvisersType:Forms          Withdrawn:Last Updated:Title:Frequently Asked Questions on Form ADV and IARDType:Staff Guidance / FAQ          Withdrawn:Last Updated:Sept. 29, 2017Title:(Staff Guidance Concerning Investment Adviser Reliance on Predecessor Registrations)Type:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 18, 2016Title:Form ADV and Investment Advisers Act RulesType:Rulemaking          Withdrawn:Last Updated:Aug. 25, 2016Title:Goldman, Sachs & Co.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 20, 2013Title:Regulation of Investment AdvisersType:Resources          Withdrawn:Last Updated:March 1, 2013Title:Rules Implementing Amendments to the Investment Advisers Act of 1940Type:Rulemaking          Withdrawn:Last Updated:June 22, 2011Title:Rules Under the Investment Advisers Act of 1940Type:Resources          Withdrawn:Last Updated:June 22, 2011Title:Amendments to Form ADV (Extension of Compliance Date)Type:Rulemaking          Withdrawn:Last Updated:Dec. 28, 2010Title:Amendments to Form ADVType:Rulemaking          Withdrawn:Last Updated:July 28, 2010Title:Technical Amendments to Form ADVType:Rulemaking          Withdrawn:Last Updated:Jan. 17, 2008Title:Technical Amendments to Form ADV, Form ADV-W, Form ADV-H, Form ADV-EType:Rulemaking          Withdrawn:Last Updated:March 30, 2006Title:Exemption for Certain Investment Advisers Operating Through the InternetType:Rulemaking          Withdrawn:Last Updated:Dec. 12, 2002Title:Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical AmendmentsType:Rulemaking          Withdrawn:Last Updated:Dec. 21, 2000Title:Electronic Filing by Investment Advisers (Amendments to Form ADV)Type:Rulemaking          Withdrawn:Last Updated:Sept. 12, 2000Title:Amendments to Form ADVType:Rulemaking          Withdrawn:Last Updated:April 5, 2000          Form N-1A/Registration and Disclosure    	  TitleTypeWithdrawnLast UpdatedTitle:Tailored Shareholder ReportsType:Staff Guidance / FAQ          Withdrawn:Last Updated:Jan. 26, 2024Title:Staff Statement on Funds Registered Under the Investment Company Act Investing in the Bitcoin Futures MarketType:Staff Guidance / Other          Withdrawn:Last Updated:May 11, 2021Title:Registration form for open-end management investment companiesType:Forms          Withdrawn:Last Updated:Title:Frequently Asked Questions on IM Guidance Update 2016-06 (Mutual Fund Fee Structures)Type:Staff Guidance / FAQ          Withdrawn:Last Updated:Feb. 15, 2017Title:Mutual Fund Fee StructuresType:Staff Guidance / Other          Withdrawn:Last Updated:Dec. 15, 2016Title:Fund Disclosure Reflecting Risks Related to Current Market ConditionsType:Staff Guidance / Other          Withdrawn:Last Updated:March 9, 2016Title:Guidance Regarding Mutual Fund Enhanced DisclosureType:Staff Guidance / Other          Withdrawn:Last Updated:June 26, 2014Title:Fund Names Suggesting Protection From LossType:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 13, 2013Title:Interactive Data for Mutual Fund Risk/Return Summary (Correction)Type:Rulemaking          Withdrawn:Last Updated:May 1, 2009Title:Interactive Data for Mutual Fund Risk/Return SummaryType:Rulemaking          Withdrawn:Last Updated:Feb. 11, 2009Title:Enhanced Disclosure and New Prospectus Delivery Option For Registered Open-End Management Investment CompaniesType:Rulemaking          Withdrawn:Last Updated:Jan. 13, 2009Title:Extension of Interactive Data Voluntary Reporting Program on the Edgar System to Include Mutual Fund Risk/Return Summary InformationType:Rulemaking          Withdrawn:Last Updated:July 11, 2007Title:Disclosure of Breakpoint Discounts by Mutual FundsType:Rulemaking          Withdrawn:Last Updated:June 7, 2004Title:New Disclosure Option for Open-End Management Investment CompaniesType:Rulemaking          Withdrawn:Last Updated:March 13, 1998Title:Registration Form Used by Open-End Management Investment Companies (Form)Type:Rulemaking          Withdrawn:Last Updated:March 13, 1998Title:Registration Form Used by Open-End Management Investment Companies (Rule)Type:Rulemaking          Withdrawn:Last Updated:March 13, 1998Title:Plain English DisclosureType:Rulemaking          Withdrawn:Last Updated:Jan. 28, 1998Title:Eaton Vance Master PortfolioType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 11, 1996Title:Frank Russell Investment Management CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 30, 1993          Form N-2/Registration and Disclosure    	  TitleTypeWithdrawnLast UpdatedTitle:Registration statement for closed-end management investment companiesType:Forms          Withdrawn:Last Updated:Title:The Mexico Fund, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 31, 2013Title:Fund Names Suggesting Protection From LossType:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 13, 2013Title:Aberdeen Asia-Pacific Income Fund, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 26, 2013Title:Credit Suisse High Yield Bond Fund and Credit Suisse Asset Management Income Fund, Inc. (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:June 26, 2013Title:Eaton Vance, et al.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 26, 2013Title:First Trust, et al.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 26, 2013Title:John Hancock Investors Trust and John Hancock Tax-Advantaged Global Shareholder Yield Fund (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:June 26, 2013Title:NexPoint Credit Strategies Fund (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:June 26, 2013Title:Nuveen, et al (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:June 26, 2013Title:Energy Income and Growth Fund and First Trust Active Dividend Income FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 27, 2010          Form N-3/Registration and Disclosure    	  TitleTypeWithdrawnLast UpdatedTitle:Registration statement of separate accounts organized as management investment companiesType:Forms          Withdrawn:Last Updated:          Form N-4/Registration and Disclosure    	  TitleTypeWithdrawnLast UpdatedTitle:Registration statement of separate accounts organized as unit investment trustsType:Forms          Withdrawn:Last Updated:Title:Frequently Asked Questions on IM Guidance Update 2016-06 (Mutual Fund Fee Structures)Type:Staff Guidance / FAQ          Withdrawn:Last Updated:Feb. 15, 2017Title:Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Annuity ContractsType:Rulemaking          Withdrawn:Last Updated:Nov. 13, 2002          Form N-6/Registration and Disclosure    	  TitleTypeWithdrawnLast UpdatedTitle:Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policiesType:Forms          Withdrawn:Last Updated:Title:Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Annuity ContractsType:Rulemaking          Withdrawn:Last Updated:Nov. 13, 2002          Form N-14    	  TitleTypeWithdrawnLast UpdatedTitle:Form for the registration of securities issued in business combination transactions by investment companies and business development companiesType:Forms          Withdrawn:Last Updated:          Form N-CEN    	  TitleTypeWithdrawnLast UpdatedTitle:Investment Company Reporting Modernization Frequently Asked QuestionsType:Staff Guidance / FAQ          Withdrawn:Last Updated:April 27, 2018Title:Small Entity Compliance GuideType:Rulemaking          Withdrawn:Last Updated:Nov. 23, 2016Title:Investment Company Reporting ModernizationType:Rulemaking          Withdrawn:Last Updated:Oct. 13, 2016          Form N-CSR/N-Q    	  TitleTypeWithdrawnLast UpdatedTitle:Tailored Shareholder ReportsType:Staff Guidance / FAQ          Withdrawn:Last Updated:Jan. 26, 2024Title:Certified shareholder report of registered management investment companiesType:Forms          Withdrawn:Last Updated:Title:Quarterly Schedule of Portfolio Holdings of Registered Management Investment CompanyType:Forms          Withdrawn:Last Updated:Title:Technical Amendments to Forms N-CSR and N-SAR in Connection with the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010Type:Rulemaking          Withdrawn:Last Updated:Oct. 13, 2010Title:College and University Facility Loan Trust One, et al.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 29, 2004          Form N-PORT    	  TitleTypeWithdrawnLast UpdatedTitle:Investment Company Reporting Modernization Frequently Asked QuestionsType:Staff Guidance / FAQ          Withdrawn:Last Updated:April 27, 2018Title:Investment Company Liquidity Risk Management Programs Frequently Asked QuestionsType:Staff Guidance / FAQ          Withdrawn:Last Updated:Jan. 10, 2018Title:Small Entity Compliance GuideType:Rulemaking          Withdrawn:Last Updated:Nov. 23, 2016Title:Investment Company Reporting ModernizationType:Rulemaking          Withdrawn:Last Updated:Oct. 13, 2016          Form N-PX    	  TitleTypeWithdrawnLast UpdatedTitle:Annual Report of Proxy Voting Record of Registered Management Investment CompanyType:Forms          Withdrawn:Last Updated:          Form N-SAR    	  TitleTypeWithdrawnLast UpdatedTitle:Semi-annual report of registered investment companiesType:Forms          Withdrawn:Last Updated:Title:Technical Amendments to Forms N-CSR and N-SAR in Connection with the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010Type:Rulemaking          Withdrawn:Last Updated:Oct. 13, 2010          Form PF    	  TitleTypeWithdrawnLast UpdatedTitle:Electronic Filing of Form PF for Investment Advisers on PFRDType:Forms          Withdrawn:Last Updated:Title:Private Funds StatisticsType:Resources          Withdrawn:Last Updated:Title:Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading AdvisorsType:Forms          Withdrawn:Last Updated:Title:Form PF - Frequently Asked QuestionsType:Staff Guidance / FAQ          Withdrawn:Last Updated:Jan. 18, 2017Title:Money Market Fund Reform; Amendments to Form PFType:Rulemaking          Withdrawn:Last Updated:July 23, 2014Title:Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PFType:Rulemaking          Withdrawn:Last Updated:Oct. 31, 2011          Fund Governance    	  TitleTypeWithdrawnLast UpdatedTitle:Investment Company GovernanceType:Rulemaking          Withdrawn:Last Updated:July 27, 2004Title:Adams Express CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 7, 1984          Fund Mergers    	  TitleTypeWithdrawnLast UpdatedTitle:Merger of Two Exchange-Traded FundsType:Staff Guidance / Other          Withdrawn:Last Updated:Sept. 25, 2013Title:Fifth Street Finance Corp.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 25, 2010Title:Franklin Templeton InvestmentsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 21, 2008Title:First Great-West Life & Annuity Insurance Company & Canada Life Insurance Company of New YorkType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 22, 2005Title:Allstate Life Insurance CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 23, 2002Title:Investment Company MergersType:Rulemaking          Withdrawn:Last Updated:July 18, 2002Title:The Eaton Vance Group of Investment CompaniesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 25, 1997Title:Equitable Life Assurance SocietyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 18, 1996          Fund of Funds    	  TitleTypeWithdrawnLast UpdatedTitle:Fund of Funds Arrangements Frequently Asked QuestionsType:Staff Guidance / FAQ          Withdrawn:Last Updated:April 14, 2021Title:Fund of Funds - Direct InvestmentType:Exemptive Applications          Withdrawn:Last Updated:Sept. 23, 2019Title:Fund of Funds - Multi-GroupType:Exemptive Applications          Withdrawn:Last Updated:Sept. 23, 2019Title:Dechert LLPType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 8, 2017Title:Dechert (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Jan. 25, 2017Title:Thrivent Financial for Lutherans and Thrivent Asset Management, LLC (Withdrawn))Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Sept. 27, 2016Title:Northern Lights Fund Trust (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:June 29, 2015Title:Franklin Templeton Investments (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:April 3, 2015Title:New Mountain Finance CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 18, 2014Title:Staff Responses to Questions Regarding Disclosure of Fund of Funds ExpensesType:Staff Guidance / Other          Withdrawn:Last Updated:May 23, 2007Title:Fund of Funds InvestmentsType:Rulemaking          Withdrawn:Last Updated:June 20, 2006          Ineligible/Disqualified Firms    	  TitleTypeWithdrawnLast UpdatedTitle:Exemptive ApplicationsType:Exemptive Applications          Withdrawn:Last Updated:Sept. 23, 2019          Insured Investments    	  TitleTypeWithdrawnLast UpdatedTitle:ADI 2020-10 – Filing and Delivery Obligations for Certain Discontinued Variable Insurance Products Type:Staff Guidance / Other          Withdrawn:Last Updated:April 22, 2020Title:Insurance Products - Bonus RecaptureType:Exemptive Applications          Withdrawn:Last Updated:Sept. 23, 2019Title:Insurance Products - Exchange OfferType:Exemptive Applications          Withdrawn:Last Updated:Sept. 23, 2019Title:Insurance Products - Fund SubstitutionType:Exemptive Applications          Withdrawn:Last Updated:Sept. 23, 2019Title:Insurance Products - Mixed and Shared FundingType:Exemptive Applications          Withdrawn:Last Updated:Title:Insurance Products - Substitution Related Affiliated Securities TransactionsType:Exemptive Applications          Withdrawn:Last Updated:Sept. 23, 2019Title:Jackson National LifeType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 9, 2015Title:Guidance Regarding Mixed and Shared Funding OrdersType:Staff Guidance / Other          Withdrawn:Last Updated:Oct. 28, 2014Title:Auditing Standards for Financial Statements of Insurance Company Depositors of Variable Insurance Products, Staff LettersType:Staff Guidance / Other          Withdrawn:Last Updated:March 8, 2005Title:Acacia National Life Insurance CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 19, 2003Title:Allstate Life Insurance CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 23, 2002Title:Aid Association for Lutherans/Lutheran BrotherhoodType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 21, 2001Title:AIG Life Insurance Company - American International Life Assurance Company of New YorkType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 6, 2001Title:AIG Life Insurance CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 16, 2001Title:Retail Exception to Section 11, Letter to NAVAType:Staff Guidance / Other          Withdrawn:Last Updated:June 19, 2001          International    	  TitleTypeWithdrawnLast UpdatedTitle:Staff Statement Regarding Temporary International Mail Service Suspensions to Certain Jurisdictions Related to the COVID-19 PandemicType:Staff Guidance / Other          Withdrawn:Last Updated:June 25, 2020Title:(Information Update for Advisers Relying on the Unibanco No-Action Letters)Type:Staff Guidance / Other          Withdrawn:Last Updated:March 13, 2017Title:Dechert LLPType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 8, 2017Title:Royal Dutch Shell plcType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 7, 2015Title:Erste AbwicklungsanstaltType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 10, 2012Title:Foxby Corp.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 17, 2012Title:Allianz of America, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 25, 2012Title:Dechert LLPType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 24, 2009Title:Fortis Group, et al.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Jan. 27, 2009Title:Franklin Templeton InvestmentsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 21, 2008Title:Dexia Municipal AgencyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 26, 2007Title:ABA Subcommittee on Private Investment EntitiesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 10, 2006Title:France Growth Fund, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 15, 2003Title:Fixed Income Clearing CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 13, 2003Title:France Growth Fund, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 6, 2001Title:Fidelity Advisor Korea Fund, IncType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 7, 2001Title:Goodwin, Procter & HoarType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 5, 1998Title:Chase Manhattan BankType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 12, 1998Title:Depository Clearing CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 19, 1997Title:Five Arrows Short-Term Investment TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 26, 1997Title:ABN AMRO Bank N.V.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 1, 1997Title:Bucharest Stock ExchangeType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 3, 1997Title:Eaton Vance South Asia PortfolioType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 12, 1997Title:Goodwin, Procter & HoarType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 28, 1997Title:Financial Services BoardType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 24, 1996Title:Mark A. BushType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 8, 1995Title:Fiduciary Trust Global FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 2, 1995Title:ESI S.A.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 2, 1995Title:The Canadian Depository for Securities LimitedType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 4, 1994Title:Custody of B Shares Trading on the Shenzhen and Shanghai Securities ExchangesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 26, 1993Title:Alliance Capital Management L.P.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 7, 1993          Investment Advisers - General    	  TitleTypeWithdrawnLast UpdatedTitle:Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors Type:Resources          Withdrawn:Last Updated:June 28, 2021Title:Securities Industry and Financial Markets AssociationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 4, 2019Title:Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser CompensationType:Staff Guidance / FAQ          Withdrawn:Last Updated:Oct. 18, 2019Title:Downloadable File of Certain Registration Information for All Active SEC-registered Investment AdvisersType:Resources          Withdrawn:Last Updated:Title:IARD Entitlement FormsType:Forms          Withdrawn:Last Updated:Title:Private Funds StatisticsType:Resources          Withdrawn:Last Updated:Title:Electronic Filing for Investment Advisers on IARDType:Forms          Withdrawn:Last Updated:Title:Form 13F (Discretionary Managers with $100M or more of certain securities)Type:Forms          Withdrawn:Last Updated:Title:Form ADV (Application for Registration and Report for Exempt Reporting Advisers)Type:Forms          Withdrawn:Last Updated:Title:Form ADV Part 1A Summary of Changes Per IA 4509 To Be Implemented October 1, 2017Type:Forms          Withdrawn:Last Updated:Title:Form PF (Reporting for Advisers to Private Funds)Type:Forms          Withdrawn:Last Updated:Title:Other Forms (ADV-E, ADV-H, ADV-NR, ADV-W)Type:Forms          Withdrawn:Last Updated:Title:Amendments to Investment Advisers Act Rules to Reflect Changes Made by the FAST ActType:Rulemaking          Withdrawn:Last Updated:Jan. 5, 2018Title:Small Entity Compliance GuideType:Rulemaking          Withdrawn:Last Updated:Jan. 5, 2018Title:Securities Industry and Financial Markets AssociationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 26, 2017Title:Innovator Capital Management, LLC,Â et al.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 6, 2017Title:Frequently Asked Questions on Form ADV and IARDType:Staff Guidance / FAQ          Withdrawn:Last Updated:Sept. 29, 2017Title:Nuveen Fund Advisors, LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 20, 2017Title:Frequently Asked Questions about 13FType:Staff Guidance / FAQ          Withdrawn:Last Updated:March 15, 2017Title:IM Guidance Update (Robo-Advisers)Type:Staff Guidance / Other          Withdrawn:Last Updated:Feb. 23, 2017Title:(Staff Guidance Concerning Investment Adviser Reliance on Predecessor Registrations)Type:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 18, 2016Title:Neuberger Berman Investment Advisers LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 28, 2016Title:Form ADV and Investment Advisers Act RulesType:Rulemaking          Withdrawn:Last Updated:Aug. 25, 2016Title:Small Entity Compliance GuideType:Rulemaking          Withdrawn:Last Updated:Title:Adviser Business Continuity and Transition PlansType:Rulemaking          Withdrawn:Last Updated:June 28, 2016Title:Code of Ethics Guidance for Investment AdvisersType:Staff Guidance / Other          Withdrawn:Last Updated:June 26, 2015Title:Cybersecurity GuidanceType:Staff Guidance / Other          Withdrawn:Last Updated:April 28, 2015Title:Jonathon HendricksType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Jan. 26, 2015Title:Staff Legal Bulletin: Proxy Voting Responsibilities of Investment AdvisersType:Staff Guidance / Other          Withdrawn:Last Updated:July 1, 2014Title:MEAG MUNICH ERGO.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 14, 2014Title:Frequently Asked Questions on Form PFType:Staff Guidance / FAQ          Withdrawn:Last Updated:Feb. 12, 2014Title:Risk Management in Changing Fixed Income Market ConditionsType:Staff Guidance / Other          Withdrawn:Last Updated:Jan. 15, 2014Title:RBS Securities, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 26, 2013Title:Wells Fargo Bank, N.A.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 15, 2013Title:Goldman, Sachs & Co.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 20, 2013Title:Compliance With Exemptive OrderType:Staff Guidance / Other          Withdrawn:Last Updated:May 10, 2013Title:Identity Theft Red FlagsType:Rulemaking          Withdrawn:Last Updated:April 10, 2013Title:Regulation of Investment AdvisersType:Resources          Withdrawn:Last Updated:March 1, 2013Title:Emerging Global Advisors, LLC and EGA Emerging Global Shares TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 27, 2013Title:Investment Advisers Registered with the Commodity Futures Trading Commission (CFTC) that Advise Private FundsType:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 15, 2012Title:Dodd-Frank Act Changes to Investment Adviser Registration RequirementsType:Resources          Withdrawn:Last Updated:Oct. 1, 2012Title:Staff Responses to Questions About the Pay to Play RuleType:Staff Guidance / Other          Withdrawn:Last Updated:July 27, 2012Title:Advisory Contracts - ConsentType:Staff Guidance / Other          Withdrawn:Last Updated:June 15, 2012Title:Political Contributions by Investment Advisers (Pay to Play Rule)Type:Rulemaking          Withdrawn:Last Updated:June 11, 2012Title:Staff Responses to Questions About the Family Office RuleType:Staff Guidance / Other          Withdrawn:Last Updated:April 27, 2012Title:Regulation of Investment Advisers: Outline and Staff ViewsType:Resources          Withdrawn:Last Updated:April 1, 2012Title:Advisory Contracts - Transition for Newly Registered and Registering AdvisersType:Staff Guidance / Other          Withdrawn:Last Updated:March 30, 2012Title:Persons Who Provide Advice Solely Regarding Matters Not Concerning SecuritiesType:Staff Guidance / Other          Withdrawn:Last Updated:March 27, 2012Title:GE Funding Capital Market Services, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Jan. 25, 2012Title:Staff Responses to Questions About the Custody RuleType:Staff Guidance / Other          Withdrawn:Last Updated:Dec. 13, 2011Title:Reporting by Investment Advisers to Private Funds (Form PF)Type:Rulemaking          Withdrawn:Last Updated:Oct. 31, 2011Title:Frequently Asked Questions Regarding Mid-Sized AdvisersType:Staff Guidance / FAQ          Withdrawn:Last Updated:June 28, 2011Title:Dodd-Frank Exemptions Release (Venture Capital Fund Advisers, Private Fund Advisers with less than $150M AUM, and Foreign Private Advisers)Type:Rulemaking          Withdrawn:Last Updated:June 22, 2011Title:Dodd-Frank Implementing Release (Registration of Private Fund Advisers, Reallocation of Mid-Sized Advisers)Type:Rulemaking          Withdrawn:Last Updated:June 22, 2011Title:Family OfficesType:Rulemaking          Withdrawn:Last Updated:June 22, 2011Title:Rules Implementing Amendments to the Investment Advisers Act of 1940Type:Rulemaking          Withdrawn:Last Updated:June 22, 2011Title:Rules Under the Investment Advisers Act of 1940Type:Resources          Withdrawn:Last Updated:June 22, 2011Title:Staff Responses to Questions About Part 2 of Form ADVType:Staff Guidance / Other          Withdrawn:Last Updated:March 18, 2011Title:Information for Newly-Registered Investment AdvisersType:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 23, 2010Title:Information for Newly Registered AdvisersType:Resources          Withdrawn:Last Updated:Nov. 1, 2010Title:Citigroup Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 22, 2010Title:General Electric CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 2, 2010Title:Amendments to Form ADVType:Rulemaking          Withdrawn:Last Updated:July 28, 2010Title:Goldman, Sachs & Co.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 22, 2010Title:Claymore Advisors, LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 27, 2010Title:Fifth Street Finance Corp.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 25, 2010Title:Custody of Funds or Securities of Clients by Investment Advisers (Custody Rule)Type:Rulemaking          Withdrawn:Last Updated:Dec. 30, 2009Title:General Electric CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 12, 2009Title:Deutsche Bank Securities Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 9, 2009Title:E*Trade Capital Markets LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 12, 2009Title:Fortis Group, et al.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Jan. 27, 2009Title:Citigroup Global Markets, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 23, 2008Title:First Trust/Gallatin Specialty Finance and Financial Opportunities FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 11, 2008Title:Technical Amendments to Form ADVType:Rulemaking          Withdrawn:Last Updated:Jan. 17, 2008Title:Emanuel J. Friedman and EJF Capital LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Jan. 16, 2007Title:Citigroup Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 26, 2006Title:Gardner Russo & GardnerType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 7, 2006Title:Evergreen Investment Management Company LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 11, 2005Title:Credit Suisse First Boston, LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 31, 2005Title:CIBC Mellon Trust CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 24, 2005Title:Goldman, Sachs & Co.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 23, 2005Title:Deutsche Bank Securities Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 24, 2004Title:Compliance Programs of Investment Companies and Investment AdvisersType:Rulemaking          Withdrawn:Last Updated:Dec. 17, 2003Title:Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 31, 2003Title:Credit Suisse First Boston LLC f/k/a Credit Suisse First Boston CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 31, 2003Title:Goldman, Sachs & CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 31, 2003Title:Dougherty & Company LCCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 3, 2003Title:Fahnestock & Company Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 21, 2003Title:Dougherty & Company LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 21, 2003Title:Constellation Financial Management LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Jan. 9, 2003Title:Evergreen Investment Management Company, LLC (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Feb. 13, 2002Title:Investment Adviser Regulatory IssuesType:Resources          Withdrawn:Last Updated:May 23, 2000Title:Letter From the Office of Compliance Inspections and Examinations: To Registered Investment Advisers, on Areas Reviewed and Violations Found During InspectionsType:Staff Guidance / Other          Withdrawn:Last Updated:May 1, 2000Title:Amendments to Form ADVType:Rulemaking          Withdrawn:Last Updated:April 5, 2000Title:Franklin Management, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 10, 1998Title:DALBAR, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 24, 1998Title:GE FundsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 7, 1997Title:First Call CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 6, 1995Title:Mark A. BushType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 8, 1995Title:George ColmanType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 18, 1995Title:California Municipal Cash TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 11, 1995Title:Dana Investment Advisors, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 12, 1994Title:The Capitol Mutual Funds and Nations Fund TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 24, 1994          JOBS Act    	  TitleTypeWithdrawnLast UpdatedTitle:The Jumpstart Our Business Startups Act and Investment CompaniesType:Resources          Withdrawn:Last Updated:May 3, 2012          Money Market Funds    	  TitleTypeWithdrawnLast UpdatedTitle:Investment Company Institute,  March 19, 2020Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 19, 2020Title:Form N-MFPType:Forms          Withdrawn:Last Updated:Title:2014 Money Market Fund Reform Frequently Asked QuestionsType:Staff Guidance / FAQ          Withdrawn:Last Updated:Jan. 13, 2016Title:Money Market Fund Reform; Amendments to Form PFType:Rulemaking          Withdrawn:Last Updated:July 23, 2014Title:Staff Responses to Questions About Money Market Fund ReformType:Staff Guidance / FAQ          Withdrawn:Last Updated:Aug. 7, 2012Title:Tri-Party Repos - Counterparty Risk ManagementType:Staff Guidance / Other          Withdrawn:Last Updated:July 17, 2012Title:Staff Responses to Questions about Rule 30b1-7 and Form N-MFPType:Staff Guidance / FAQ          Withdrawn:Last Updated:July 29, 2011Title:Money Market Funds and Systemic Risk RoundtableType:Resources          Withdrawn:Last Updated:May 10, 2011Title:Staff Responses to Questions about Information Filed on Form N-MFPType:Staff Guidance / FAQ          Withdrawn:Last Updated:Jan. 25, 2011Title:Money Market Fund ReformType:Rulemaking          Withdrawn:Last Updated:Feb. 23, 2010Title:SEC Release Adopting Form N-MFPType:Rulemaking          Withdrawn:Last Updated:Feb. 23, 2010Title:Disclosure of Certain Money Market Fund Portfolio HoldingsType:Rulemaking          Withdrawn:Last Updated:Sept. 18, 2009Title:Dechert LLPType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 24, 2009Title:Allianz FundsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 3, 2009Title:Citigroup Global Markets, IncType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 28, 2009Title:College Retirement Equities Fund (CREF)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 13, 2009Title:Columbia Funds Series Trust - Columbia Cash ReservesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 2, 2009Title:Columbia Funds Series Trust - Columbia Money Market ReservesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 2, 2009Title:Columbia Funds Series TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 22, 2008Title:Advantus Series FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 20, 2008Title:Dreyfus Cash Management PlusType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 20, 2008Title:Dreyfus Money FundsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 20, 2008Title:Dreyfus Money FundsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 20, 2008Title:Division of Investment Management Responses to Frequently Asked Questions about The Reserve Fund and Money Market FundsType:Staff Guidance / FAQ          Withdrawn:Last Updated:Oct. 1, 2008Title:Dreyfus Cash Management, et al.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 25, 2008Title:Eaton Vance ManagementType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 13, 2008Title:EIF Neptune, LLC Starwood Energy Investors, LLC & Atlantic Energy PartsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 29, 2005Title:AAL Mutual Funds, et al. (Withdrawn)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:WithdrawnLast Updated:Dec. 12, 2002Title:Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying SecuritiesType:Rulemaking          Withdrawn:Last Updated:July 5, 2001Title:Five Arrows Short-Term Investment TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 26, 1997Title:Charles Schwab & Co., Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 7, 1997Title:ACM Institutional Reserves, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 14, 1995Title:Alliance Municipal TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 14, 1995Title:California Municipal Cash TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 11, 1995Title:Adam W. GlassType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 9, 1994Title:CBA Money Fund, et al.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 9, 1994Title:Donaldson, Lufkin & Jenrette Securities CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 26, 1994Title:Sean J. EganType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 10, 1994          Mortgages/Real Estate/REITs    	  TitleTypeWithdrawnLast UpdatedTitle:Redwood Trust, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 15, 2019Title:Great Ajax Funding LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 12, 2018Title:Redwood Trust, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 16, 2017Title:Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related InstrumentsType:Resources          Withdrawn:Last Updated:Aug. 31, 2011Title:Exclusion From the Definition of Investment Company for Certain Structured FinancingsType:Rulemaking          Withdrawn:Last Updated:Nov. 19, 1992Title:Exclusion From the Definition of Investment Company for Certain Structured FinancingsType:Rulemaking          Withdrawn:Last Updated:May 29, 1992Title:Protecting Investors: A Half Century of Investment Company Regulation, Chapter 1Type:Resources          Withdrawn:Last Updated:Dec. 31, 1991Title:Greenwich Capital Acceptance Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 8, 1991Title:NAB Asset Corp.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 20, 1991Title:CitytrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 19, 1990Title:United States Property Investment N.V.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 1, 1989Title:United BankersType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 23, 1988Title:M.D.C. HoldingsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 5, 1987Title:The State Street Mortgage Co.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 18, 1986Title:First National Bank of FremontType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 18, 1985Title:Salomon Brothers, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 17, 1985Title:Health Facility Credit Corp.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 6, 1985Title:Baton Rouge Building and Construction Industry FoundationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 31, 1984Title:Northwestern Ohio Building and Construction Trades FoundationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 20, 1984Title:Nottingham Realty SecuritiesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 19, 1984Title:Realex Capital CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 19, 1984Title:American Home Finance Corp.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 9, 1981Title:MGIC Mortgage Corp.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 1, 1974Title:MGIC Mortgage Corp.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 6, 1972Title:Urban Land InvestmentsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 4, 1971Title:Real Estate Investment TrustsType:Resources          Withdrawn:Last Updated:Nov. 18, 1960          Pay-to-Play    	  TitleTypeWithdrawnLast UpdatedTitle:Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Compliance DateType:Rulemaking          Withdrawn:Last Updated:June 25, 2015Title:Regulation of Investment AdvisersType:Resources          Withdrawn:Last Updated:March 1, 2013Title:Staff Responses to Questions About the Pay to Play RuleType:Staff Guidance / FAQ          Withdrawn:Last Updated:July 27, 2012Title:Political Contributions by Certain Investment Advisers: Ban on Third-Party SolicitationType:Rulemaking          Withdrawn:Last Updated:June 8, 2012Title:Technical Amendment to Rule 206(4)-5: Political Contributions by Certain Investment AdvisersType:Rulemaking          Withdrawn:Last Updated:May 8, 2012Title:Political Contributions by Certain Investment AdvisersType:Rulemaking          Withdrawn:Last Updated:July 1, 2010          Portfolio Management - Concentration/Diversification    	  TitleTypeWithdrawnLast UpdatedTitle:BlackRock Multi-Sector Income TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 9, 2013Title:Morgan Stanley Mortgage Securities TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 9, 2013Title:Frequently Asked Questions about Rule 35d-1 (Investment Company Names)Type:Staff Guidance / FAQ          Withdrawn:Last Updated:Dec. 4, 2001          Portfolio Management - Liquidity/Leverage/Names Rule    	  TitleTypeWithdrawnLast UpdatedTitle:Investment Company Liquidity Risk Management Programs Frequently Asked QuestionsType:Staff Guidance / FAQ          Withdrawn:Last Updated:Jan. 10, 2018Title:Small Entity Compliance GuideType:Rulemaking          Withdrawn:Last Updated:Nov. 23, 2016Title:Investment Company Liquidity Risk Management ProgramsType:Rulemaking          Withdrawn:Last Updated:Oct. 13, 2016Title:Fund Names Suggesting Protection From LossType:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 13, 2013Title:Frequently Asked Questions about Rule 35d-1 (Investment Company Names)Type:Staff Guidance / FAQ          Withdrawn:Last Updated:Dec. 4, 2001          Privacy/Identity Theft    	  TitleTypeWithdrawnLast UpdatedTitle:Cybersecurity GuidanceType:Staff Guidance / Other          Withdrawn:Last Updated:April 28, 2015Title:Identity Theft Red Flags RulesType:Rulemaking          Withdrawn:Last Updated:April 10, 2013Title:Regulation of Investment AdvisersType:Resources          Withdrawn:Last Updated:March 2, 2013Title:Final Model Privacy Form under the Gramm-Leach-Bliley ActType:Rulemaking          Withdrawn:Last Updated:Nov. 16, 2009Title:Regulation S-AM: Limitations on Affiliate MarketingType:Rulemaking          Withdrawn:Last Updated:Nov. 5, 2009Title:Report Issued on Improving Financial Privacy Notices for ConsumersType:Resources          Withdrawn:Last Updated:March 31, 2006Title:Staff Responses to Questions about Regulation S-PType:Staff Guidance / FAQ          Withdrawn:Last Updated:Jan. 23, 2003Title:Privacy of Consumer Financial Information (Regulation S-P)Type:Rulemaking          Withdrawn:Last Updated:June 22, 2000          Private Fund Advisers    	  TitleTypeWithdrawnLast UpdatedTitle:Alliance Trust Company of Nevada, March 5,  2021Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 5, 2021Title:Downloadable File of Certain Registration Information for All Active SEC-registered Investment AdvisersType:Resources          Withdrawn:Last Updated:Title:Electronic Filing for Investment Advisers on IARDType:Forms          Withdrawn:Last Updated:Title:Electronic Filing of Form PF for Investment Advisers on PFRDType:Forms          Withdrawn:Last Updated:Title:Private Funds StatisticsType:Resources          Withdrawn:Last Updated:Title:Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading AdvisorsType:Forms          Withdrawn:Last Updated:Title:Uniform Application for Investment Adviser Registration and Report by Exempt Reporting AdvisersType:Forms          Withdrawn:Last Updated:Title:Frequently Asked Questions on Form ADV and IARDType:Staff Guidance / FAQ          Withdrawn:Last Updated:June 12, 2017Title:Form ADV and Investment Advisers Act RulesType:Rulemaking          Withdrawn:Last Updated:Aug. 26, 2016Title:Guidance on FAST Act Changes to Advisers Act Affecting Advisers to SBICsType:Staff Guidance / Other          Withdrawn:Last Updated:March 21, 2016Title:Personal Securities Transactions Reports by Registered Investment Advisers: Securities Held in Accounts Over Which Reporting Persons Had No Influence Or ControlType:Staff Guidance / Other          Withdrawn:Last Updated:June 1, 2015Title:Cybersecurity GuidanceType:Staff Guidance / Other          Withdrawn:Last Updated:April 28, 2015Title:16th Amendment Advisors LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 23, 2015Title:Private Funds and the Application of the Custody Rule to Special Purpose Vehicles and EscrowsType:Staff Guidance / Other          Withdrawn:Last Updated:June 26, 2014Title:Frequently Asked Questions on Form PFType:Staff Guidance / FAQ          Withdrawn:Last Updated:Feb. 12, 2014Title:Managed Funds AssociationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 6, 2014Title:Guidance on the Exemption for Advisers to Venture Capital FundsType:Staff Guidance / Other          Withdrawn:Last Updated:Dec. 2, 2013Title:Privately Offered Securities under the Investment Advisers Act Custody RuleType:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 6, 2013Title:Status of Certain Private Fund Investors as Qualified ClientsType:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 5, 2013Title:Staff Responses to Questions About the Custody RuleType:Staff Guidance / FAQ          Withdrawn:Last Updated:Sept. 1, 2013Title:Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144AType:Rulemaking          Withdrawn:Last Updated:July 10, 2013Title:Investment Advisers Registered with the Commodity Futures Trading Commission (CFTC) that Advise Private FundsType:Staff Guidance / Other          Withdrawn:Last Updated:Nov. 15, 2012Title:Dodd-Frank Act Changes to Investment Adviser Registration RequirementsType:Resources          Withdrawn:Last Updated:Oct. 1, 2012Title:Staff Responses to Questions About the Pay to Play RuleType:Staff Guidance / Other          Withdrawn:Last Updated:July 27, 2012Title:Political Contributions by Investment Advisers (Pay to Play Rule)Type:Rulemaking          Withdrawn:Last Updated:June 11, 2012Title:Net Worth Standard for Accredited Investors (technical amendment)Type:Rulemaking          Withdrawn:Last Updated:March 23, 2012Title:Investment Adviser Performance CompensationType:Rulemaking          Withdrawn:Last Updated:Feb. 15, 2012Title:American Bar Association, Business Law SectionType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Jan. 18, 2012Title:Net Worth Standard for Accredited InvestorsType:Rulemaking          Withdrawn:Last Updated:Dec. 21, 2011Title:Frequently Asked Questions Regarding Mid-Sized AdvisersType:Staff Guidance / FAQ          Withdrawn:Last Updated:June 28, 2011Title:Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private AdvisersType:Rulemaking          Withdrawn:Last Updated:June 22, 2011Title:Rules Implementing Amendments to the Investment Advisers Act of 1940Type:Rulemaking          Withdrawn:Last Updated:June 22, 2011Title:Amendments to Form ADVType:Rulemaking          Withdrawn:Last Updated:July 28, 2010Title:Custody of Funds or Securities of Clients by Investment Advisers (Custody Rule)Type:Rulemaking          Withdrawn:Last Updated:Dec. 30, 2009Title:Technical Amendments to Form ADVType:Rulemaking          Withdrawn:Last Updated:Jan. 17, 2008Title:Prohibition of Fraud by Advisers to Certain Pooled Investment VehiclesType:Rulemaking          Withdrawn:Last Updated:Aug. 3, 2007Title:ABA Subcommittee on Private Investment EntitiesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 10, 2006Title:ABA Subcommittee on Private Investment EntitiesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 8, 2005Title:Compliance Programs of Investment Companies and Investment AdvisersType:Rulemaking          Withdrawn:Last Updated:Dec. 17, 2003Title:Hedge Funds RoundtableType:Resources          Withdrawn:Last Updated:Sept. 29, 2003Title:The Implication of the Growth of Hedge FundsType:Resources          Withdrawn:Last Updated:Sept. 1, 2003Title:Investment Adviser Regulatory IssuesType:Resources          Withdrawn:Last Updated:May 23, 2000Title:Amendments to Form ADVType:Rulemaking          Withdrawn:Last Updated:April 5, 2000          Prospectus Delivery    	  TitleTypeWithdrawnLast UpdatedTitle:Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment CompaniesType:Rulemaking          Withdrawn:Last Updated:Jan. 13, 2009          Proxy Voting/Shareholder Meetings    	  TitleTypeWithdrawnLast UpdatedTitle:Highland Opportunities and Income Fund – Omission of Shareholder Proposal Submitted by Allan HausmanType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 5, 2024Title: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.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 16, 2024Title:Puerto Rico Residents Tax-Free Fund, Inc. (Omission of Shareholder Proposal Submitted by Ocean Capital LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 30, 2023Title:Templeton Emerging Markets Income Fund (Omission of Shareholder Proposal)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 5, 2021Title:Delaware Enhanced Global Dividend and Income Fund-Omission of Shareholder Proposal Submitted by Saba Capital Management L.P.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 11, 2018Title:Dividend and Income Fund - Omission of Shareholder Proposal Submitted by Matisse CapitalType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 27, 2018Title:First Trust Mortgage Income FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Jan. 25, 2018Title:Swiss Helvetia FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 6, 2017Title:Franklin Limited Duration Income TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 27, 2016Title:Deutsche Multi-Market Income Trust (Omission of Shareholder Proposal)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 24, 2016Title:Deutsche Strategic Income Trust (Omission of Shareholder Proposal)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 24, 2016Title:Omission of Shareholder Proposal (Fidelity Freedom 2020 Fund, Fidelity Freedom 2025 Fund, and Fidelity Advisor Municipal Income Fund)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 12, 2015Title:Omission of Shareholder Proposal Submitted by Steven N. Harris (Liberty All-Star Equity Fund)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 6, 2015Title:Opportunity Partners L.P. Shareholder Proposal (Clough Global Equity Fund)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 16, 2015Title:Harris & Harris Group, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 3, 2015Title:Tom DeWard Shareholder Proposal (LMP Real Estate Income Fund, Inc.)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 25, 2015Title:Fidelity Inflation-Protected Bond Fund (Omission of Shareholder Proposal)Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 24, 2015Title:Karpus Management, Inc. Shareholder Proposal (Alliance Bernstein Income Fund, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 18, 2015Title:Ellsworth Fund LtdType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 6, 2014Title:JP Morgan Municipal Money Market FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 15, 2014Title:Unbundling of Proxy Proposals-Investment Company Charter AmendmentsType:Staff Guidance / Other          Withdrawn:Last Updated:Feb. 24, 2014Title:Firsthand Technology Value Fund, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 11, 2014Title:First Trust Dividend and Income FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Jan. 30, 2014Title:College Retirement Equities Fund - Tamari - Request for ReconsiderationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 23, 2013Title:College Retirement Equities Fund - FoxType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 10, 2013Title:College Retirement Equities Fund - TamariType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 10, 2013Title:Regulation of Investment AdvisersType:Resources          Withdrawn:Last Updated:March 1, 2013Title:Foxby Corp.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 17, 2012Title:Guggenheim Enhanced Equity Strategy FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 21, 2012Title:Facilitating Shareholder Director NominationsType:Rulemaking          Withdrawn:Last Updated:Sept. 15, 2011Title:College Retirement Equities Fund ("Fund") Shareholder Proposal of Aaron LevittType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 6, 2011Title:Adams Express CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Jan. 26, 2011Title:Facilitating Shareholder Director NominationsType:Rulemaking          Withdrawn:Last Updated:Aug. 25, 2010Title:Proxy Disclosure Enhancements (Correction)Type:Rulemaking          Withdrawn:Last Updated:Feb. 23, 2010Title:Amendments to Rules Requiring Internet Availability of Proxy MaterialsType:Rulemaking          Withdrawn:Last Updated:Feb. 22, 2010Title:Proxy Disclosure EnhancementsType:Rulemaking          Withdrawn:Last Updated:Dec. 16, 2009Title:College Retirement Equities FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 19, 2008Title:Fidelity FundsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Jan. 22, 2008Title:Franklin Universal TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 18, 2007Title:Shareholder Choice Regarding Proxy MaterialsType:Rulemaking          Withdrawn:Last Updated:July 26, 2007Title:Internet Availability of Proxy MaterialsType:Rulemaking          Withdrawn:Last Updated:Jan. 22, 2007Title:Alliance World Dollar Government Fund, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 19, 2006Title:Executive Compensation and Related Person DisclosureType:Rulemaking          Withdrawn:Last Updated:Aug. 29, 2006Title:Fidelity Magellan FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 15, 2005Title:College Retirement Equities Fund - BelthType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 3, 2004Title:College Retirement Equities Fund - FullerType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 3, 2004Title:College Retirement Equities Fund - StoneType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 3, 2004Title:Current Income Shares, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 10, 2001Title:France Growth Fund, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 6, 2001Title:France Growth Fund, Inc.; Advantage Partners LPType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 6, 2001Title:France Growth Fund, Inc.; Strome Hedgecap FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 6, 2001Title:Fidelity Advisor Korea Fund, IncType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 7, 2001Title:Delivery of Proxy Statements and Information Statements to HouseholdsType:Rulemaking          Withdrawn:Last Updated:Oct. 27, 2000Title:Alameda Contra Costa Medical Association Collective Investment Trust for Retirement PlansType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 26, 1993          Real Estate/REITs    	  TitleTypeWithdrawnLast UpdatedTitle:Capital Trust, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 3, 2009Title:Capital Trust, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 24, 2007Title:College Retirement Equities Fund - BuchmanType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 3, 2004Title:College Retirement Equities Fund Real Estate AccountType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 22, 1993          Recordkeeping    	  TitleTypeWithdrawnLast UpdatedTitle:ABA Subcommittee on Private Investment EntitiesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 10, 2006          Redemptions    	  TitleTypeWithdrawnLast UpdatedTitle:Committee of Annuity InsurersType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 11, 2024Title:Investment Company InstituteType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 1, 2018Title:Small Entity Compliance GuideType:Rulemaking          Withdrawn:Last Updated:Nov. 23, 2016Title:Investment Company Swing PricingType:Rulemaking          Withdrawn:Last Updated:Oct. 13, 2016Title:Mutual Fund Redemption FeesType:Rulemaking          Withdrawn:Last Updated:Sept. 27, 2006          Securities Lending    	  TitleTypeWithdrawnLast UpdatedTitle:Exemptive ApplicationsType:Exemptive Applications          Withdrawn:Last Updated:Sept. 23, 2019Title:Investment Company Reporting Modernization Frequently Asked QuestionsType:Staff Guidance / FAQ          Withdrawn:Last Updated:April 27, 2018Title:Nuveen Investment FundsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 14, 2014Title:Securities Lending by U.S. Open-End and Closed-End Investment CompaniesType:Resources          Withdrawn:Last Updated:Nov. 6, 2012Title:Securities Lending RoundtableType:Resources          Withdrawn:Last Updated:Sept. 29, 2009Title:Adams Express CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 7, 1984          Senior Securities    	  TitleTypeWithdrawnLast UpdatedTitle:Registered Investment Company Use of Senior Securities - Select BibliographyType:Resources          Withdrawn:Last Updated:June 17, 2016Title:Business Development Companies with Wholly-Owned SBIC Subsidiaries-Asset Coverage RequirementsType:Staff Guidance / Other          Withdrawn:Last Updated:June 27, 2014Title:Funds Using Tender Option Bonds (TOB) FinancingsType:Staff Guidance / Other          Withdrawn:Last Updated:March 29, 2012          Best Execution/Soft Dollars    	  TitleTypeWithdrawnLast UpdatedTitle:Regulation of Investment AdvisersType:Resources          Withdrawn:Last Updated:March 1, 2013          Solicitation/Referral Arrangements    	  TitleTypeWithdrawnLast UpdatedTitle:Macquarie Capital (USA) Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 1, 2017Title:Stifel, Nicolaus & Company, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 6, 2016Title:F. Porter StansberryType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 30, 2015Title:JPMorgan Chase & Co.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 20, 2015Title:UBS AGType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 20, 2015Title:Royal Bank of CanadaType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 19, 2014Title:Bank of America, N.A.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 25, 2014Title:Citigroup Global Markets Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 6, 2014Title:Credit SuisseType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 20, 2014Title:Stephanie HiblerType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Jan. 24, 2014Title:RBS Securities, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 26, 2013Title:Wells Fargo Bank, N.A.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 15, 2013Title:Regulation of Investment AdvisersType:Resources          Withdrawn:Last Updated:March 1, 2013          Status - Investment Adviser    	  TitleTypeWithdrawnLast UpdatedTitle:Securities Industry and Financial Markets AssociationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 4, 2019Title:CenturyLink Investment Management CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 8, 2016Title:Willkie Farr & GallagherType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 21, 2015Title:Regulation of Investment AdvisersType:Resources          Withdrawn:Last Updated:March 1, 2013Title:Allianz of America, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 25, 2012Title:Peter Adamson IIIType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 3, 2012Title:ABA Retirement Funds ProgramType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 7, 2010Title:Accor ServicesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 7, 2010Title:Cabot Wellington, LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 17, 2008Title:ABA Subcommittee on Private Investment EntitiesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 10, 2006Title:Credit Agricole Asset Management Alternative Investments, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 7, 2006Title:Acacia National Life Insurance CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 19, 2003Title:Gulf Coast Venture Forum, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 21, 2002Title:Aid Association for Lutherans/Lutheran BrotherhoodType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 21, 2001Title:Daughters of Charity National Health System, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 3, 1998Title:ABN AMRO Bank N.V.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 1, 1997Title:Department of LaborType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 5, 1995Title:Dana Investment Advisors, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 12, 1994          Status - Investment Company    	  TitleTypeWithdrawnLast UpdatedTitle:Inadvertent Investment Companies - 3(b)(2)Type:Exemptive Applications          Withdrawn:Last Updated:Sept. 23, 2019Title:Inadvertent Investment Companies - 6(c)Type:Exemptive Applications          Withdrawn:Last Updated:Sept. 23, 2019Title:Inadvertent Investment Companies - Foreign Banks/InsuranceType:Exemptive Applications          Withdrawn:Last Updated:Sept. 23, 2019Title:Inadvertent Investment Companies - OtherType:Exemptive Applications          Withdrawn:Last Updated:Title:Holding Companies and the Application of Rule 3a-2 under the Investment Company ActType:Staff Guidance / Other          Withdrawn:Last Updated:March 15, 2017Title:Life Partners Position Holder Trust and Life Partners IRA Partnership, LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 2, 2016Title:Hannon Armstrong Sustainable Infrastructure Capital, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 29, 2016Title:North American Division of Seventh-Day AdventistsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 6, 2015Title:Royal Dutch Shell plcType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 7, 2015Title:Deregistration of Investment Companies: Applications on Form N-8FType:Staff Guidance / Other          Withdrawn:Last Updated:April 15, 2014Title:Investment Funds Maintained by Charitable OrganizationsType:Staff Guidance / Other          Withdrawn:Last Updated:Dec. 24, 2013Title:Erste AbwicklungsanstaltType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 10, 2012Title:Deutsche Bank Microcredit Development Fund, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 8, 2011Title:Emeriti Consortium for Retirement Health SolutionsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 3, 2009Title:Capital Trust, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 3, 2009Title:Emeriti Consortium for Retirement Health SolutionsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 16, 2008Title:Dexia Municipal AgencyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 26, 2007Title:Exelon CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 13, 2007Title:Cooley Godward & KronishType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 12, 2007Title:Capital Trust, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 24, 2007Title:Goldman Sachs Asset Management, L.P.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 13, 2007Title:Emeriti Consortium for Retirement Health SolutionsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 7, 2005Title:The Goldman Sachs Group, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 8, 2005Title:College Retirement Equities Fund - BuchmanType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 3, 2004Title:Cantor Fitzgerald & CompanyType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 17, 2004Title:First Data CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Jan. 13, 2004Title:Equus Capital Partners L.P.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 14, 2003Title:General Motors Investment ManagementType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 20, 2000Title:Goodwin, Procter & HoarType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 5, 1998Title:Credit Suisse First BostonType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Sept. 9, 1998Title:Daughters of Charity National Health System, Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 3, 1998Title:Davis, Polk & WardwellType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 24, 1997Title:Goodwin, Procter & HoarType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 28, 1997Title:Cornish & Carey Commercial Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 26, 1996Title:Fiduciary Trust Global FundType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 2, 1995Title:Goldman Sachs & Co.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 27, 1995Title:ESI S.A.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Feb. 2, 1995Title:Global Exempt Certificates of Ownership in NHA MBS Securities Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 30, 1994Title:Caxton CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 28, 1994Title:Edward H. FleischmanType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 30, 1994Title:Donaldson, Lufkin & Jenrette Securities CorporationType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 26, 1994Title:College Retirement Equities Fund Real Estate AccountType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:July 22, 1993Title:Continental of Illinois (Delaware), Ltd.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:March 14, 1973          Subadvisers/Multi-Managers    	  TitleTypeWithdrawnLast UpdatedTitle:Investment Company Liquidity Risk Management Programs Frequently Asked QuestionsType:Staff Guidance / FAQ          Withdrawn:Last Updated:Jan. 10, 2018Title:Multi-Manager Funds - Aggregate Advisory Fee RateType:Staff Guidance / Other          Withdrawn:Last Updated:Feb. 24, 2014Title:Goldman, Sachs & Co.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 20, 2013          Subsidiaries    	  TitleTypeWithdrawnLast UpdatedTitle:Hercules Capital, Inc., May 11, 2020Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 11, 2020Title:AFL-CIO Housing Investment TrustType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Aug. 5, 2016Title:Adams Diversified Equity Fund Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 30, 2015          Trading Issues - Aggregation/Allocation    	  TitleTypeWithdrawnLast UpdatedTitle:Investment Company InstituteType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Oct. 26, 2017Title:Regulation of Investment AdvisersType:Resources          Withdrawn:Last Updated:March 1, 2013          Trading Issues - Principal/Agency Cross    	  TitleTypeWithdrawnLast UpdatedTitle:J.P. Morgan Securities LLCType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 14, 2016Title:Temporary Rule Regarding Principal Trades with Certain Advisory ClientsType:Rulemaking          Withdrawn:Last Updated:Aug. 12, 2014Title:Regulation of Investment AdvisersType:Resources          Withdrawn:Last Updated:March 1, 2013Title:Temporary Rule Regarding Principal Trades with Certain Advisory ClientsType:Rulemaking          Withdrawn:Last Updated:Dec. 28, 2010Title:Temporary Rule Regarding Principal Trades with Certain Advisory Clients (Correction)Type:Rulemaking          Withdrawn:Last Updated:Dec. 31, 2009Title:Temporary Rule Regarding Principal Trades with Certain Advisory ClientsType:Rulemaking          Withdrawn:Last Updated:Dec. 23, 2009Title:Temporary Rule Regarding Principal Trades with Certain Advisory ClientsType:Rulemaking          Withdrawn:Last Updated:Sept. 24, 2007          Unit Investment Trusts (UITs)    	  TitleTypeWithdrawnLast UpdatedTitle:Unit Investment Trusts - OtherType:Exemptive Applications          Withdrawn:Last Updated:Sept. 23, 2019Title:Fixed Income Securities, L.P.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:April 29, 2004Title:Defined Asset FundsType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 23, 1998Title:Global Exempt Certificates of Ownership in NHA MBS Securities Inc.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Dec. 30, 1994Title:Defined Asset Funds - Equity Income Fund - Select Ten SeriesType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:May 5, 1993          Valuation    	  TitleTypeWithdrawnLast UpdatedTitle:Valuation Frequently Asked QuestionsType:Staff Guidance / FAQ          Withdrawn:Last Updated:March 1, 2021Title:Valuation Guidance Frequently Asked QuestionsType:Staff Guidance / FAQ          Withdrawn:Last Updated:April 22, 2015Title:Valuation of Portfolio Securities and other Assets Held by Registered Investment Companies â€” Select Bibliography of the Division of Investment ManagementType:Resources          Withdrawn:Last Updated:March 20, 2009Title:Valuation Issues, Letter to ICIType:Staff Guidance / Other          Withdrawn:Last Updated:April 30, 2001Title:Valuation Issues, Letter to ICIType:Staff Guidance / Other          Withdrawn:Last Updated:Dec. 8, 1999Title:Chief Financial OfficerType:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:Nov. 1, 1994          Volcker Rule    	  TitleTypeWithdrawnLast UpdatedTitle:Responses to Frequently Asked Questions Regarding the Commission's Rule under Section 13 of the Bank Holding Company Act (the "Volcker Rule")Type:Staff Guidance / FAQ          Withdrawn:Last Updated:June 10, 2014Title:http://www.sec.gov/rules/interim/2014/bhca-2.pdfType:Rulemaking          Withdrawn:Last Updated:Jan. 17, 2014Title:http://www.sec.gov/rules/final/2013/bhca-1.pdfType:Rulemaking          Withdrawn:Last Updated:Dec. 10, 2013          Wrap Accounts/Separately Managed Account    	  TitleTypeWithdrawnLast UpdatedTitle:Goldman, Sachs & Co.Type:Staff Guidance / No-Action and Interpretive Letters          Withdrawn:Last Updated:June 20, 2013Title:SEC Letter to Congress (Congressman Dingell) - Wrap Fees (May 1992)Type:Resources          Withdrawn:Last Updated:May 4, 1992          Form CRS    	  TitleTypeWithdrawnLast UpdatedTitle:Frequently Asked Questions on Form CRS Type:Staff Guidance / FAQ          Withdrawn:Last Updated:Feb. 11, 2020          Annual and Semi-Annual Shareholder Reports    	  TitleTypeWithdrawnLast UpdatedTitle:Tailored Shareholder ReportsType:Staff Guidance / FAQ          Withdrawn:Last Updated:Jan. 30, 20241 to 959 of 959 items
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