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        <h1 class="landing"> Division of Investment Management: Modified or Withdrawn Staff Statements  </h1>
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      <article tabindex="0" role="article"  aria-label="A list of certain Investment Management staff statements that have been modified or rescinded over time. "  aria-label="A list of certain Investment Management staff statements that have been modified or rescinded over time. ">
  
    

  
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<h2>Last Updated July 18, 2023</h2>

<p>The staff of the Division of Investment Management (the “staff”) issues staff no-action letters and other staff statements (“Staff Statements”). Both this list and the referenced Staff Statements represent the views of staff of the Division of Investment Management and are not a rule, regulation, or statement of the Securities and Exchange Commission. Furthermore, the Commission has neither approved nor disapproved the content of this list or the referenced Staff Statements. Like all staff guidance, neither the list nor any referenced Staff Statement has any legal force or effect: they do not alter or amend applicable law, and they create no new or additional obligations for any person.</p>

<p>Certain Staff Statements have been modified or withdrawn over time. A list of these Staff Statements is included below. Hyperlinks to Staff Statements have been included where such Staff Statements have previously been available on our website.</p>

<p><em>This list is not exhaustive</em> and is intended solely as a resource. There may be other Staff Statements that have been modified or withdrawn that are not reflected below or that are no longer applicable. Accordingly, a Staff Statement should be considered in light of regulatory changes that may have occurred since the Staff Statement was issued. The staff expects to update this list periodically, but may not issue separate informational updates or announcements for each update. Therefore, you may wish to use the form on the right to subscribe to email bulletins that will notify subscribers of updates to this web page.</p>

<p>If you have questions, please see the Division of Investment Management’s contact page.</p>
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<table class="list" width="100%">
	<thead>
		<tr valign="bottom">
			<th>Item Description</th>
			<th>Date Issued</th>
			<th>Date Modified<br>
			or Withdrawn</th>
			<th>Notes</th>
			<th>Topic(s)</th>
		</tr>
	</thead>
	<tbody>
		<tr>
			<td colspan="5"><b>Valuation; Fair Value Pricing; Pricing – Fair Value Pricing</b></td>
		</tr>
		<tr>
			<td>Paul Revere Investors, Inc., SEC Staff Letter</td>
			<td>Feb. 21, 1973</td>
			<td>Sept. 8, 2022</td>
			<td><b>Withdrawn.  </b><em>See</em> Investment Company Act Rel. No. 34128 (Dec. 3, 2020) for more information.</td>
			<td>Valuation</td>
		</tr>
		<tr>
			<td>The Putnam Growth Fund and Putnam International Equities Fund, Inc., SEC Staff Letter</td>
			<td>Jan. 23, 1981</td>
			<td>Sept. 8, 2022</td>
			<td><b>Withdrawn.  </b><em>See</em> Investment Company Act Rel. No. 34128 (Dec. 3, 2020) for more information.</td>
			<td>Valuation</td>
		</tr>
		<tr>
			<td>Form N-7 for Registration of Unit Investment Trusts under the Securities Act of 1933 and the Investment Company Act of 1940, Investment Company Act Release No. 15612, Appendix B, Guide 2</td>
			<td>Mar. 17, 1987</td>
			<td>Sept. 8, 2022</td>
			<td><b>Withdrawn.  </b><em>See</em> Investment Company Act Rel. No. 34128 (Dec. 3, 2020) for more information.</td>
			<td>Valuation</td>
		</tr>
		<tr>
			<td>Investment Company Institute, SEC Staff Letter</td>
			<td>Dec. 8, 1999</td>
			<td>Sept. 8, 2022</td>
			<td><b>Withdrawn.  </b><em>See</em> Investment Company Act Rel. No. 34128 (Dec. 3, 2020) for more information.</td>
			<td>Valuation; Fair Value Pricing; Pricing – Fair Value Pricing</td>
		</tr>
		<tr>
			<td>Investment Company Institute, SEC Staff Letter</td>
			<td>
			<p>Apr. 30, 2001</p>
			</td>
			<td>Sept. 8, 2022</td>
			<td><b>Withdrawn.  </b><em>See</em> Investment Company Act Rel. No. 34128 (Dec. 3, 2020) for more information.</td>
			<td>Valuation; Fair Value Pricing; Pricing – Fair Value Pricing</td>
		</tr>
		<tr>
			<td><a data-entity-substitution="canonical" data-entity-type="node" data-entity-uuid="8ca85587-7aae-442c-9657-cafbc13245f4" href="/divisions/investment/guidance/valuation-guidance-frequently-asked-questions" title="/divisions/investment/guidance/valuation-guidance-frequently-asked-questions.shtml">Valuation Guidance Frequently Asked Questions</a> (FAQ 1 only)</td>
			<td>2014</td>
			<td>Sept. 8, 2022</td>
			<td><b>Withdrawn.  </b><em>See</em> Investment Company Act Rel. No. 34128 (Dec. 3, 2020) for more information.</td>
			<td>Valuation</td>
		</tr>
		<tr>
			<td colspan="5"><b>Advertising</b></td>
		</tr>
		<tr>
			<td>
			<p>A.R. Schmeidler & Co., Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>June 1, 1976</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Amherst Financial Services Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>May 23, 1995</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Anametrics Investment Mgmt.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>May 5, 1977</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Bradford Hall, SEC Staff Letter</p>
			</td>
			<td>
			<p>July 19, 1991</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>BullBear Indicator, Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Apr. 14, 1973</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Bypass Wall Street, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Jan. 7, 1992</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Cambiar Investors, Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Aug. 28, 1997</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>CIGNA Securities, Inc., SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>May 8, 1991</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Clover Capital Management,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>July 19, 1991</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Clover Capital Management,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Oct. 28, 1986</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Conway Asset Management,<br>
			Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>Jan. 27, 1989</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Covato/Lipsitz, Inc., SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Oct. 23, 1981</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>DALBAR, Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>Mar. 24, 1998</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Denver Investment Advisors,<br>
			Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>July 30, 1993</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Donaldson, Lufkin & Jenrette<br>
			Securities Corp., SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Mar. 2, 1977</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Dow Theory Forecasts, Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>May 21, 1986</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Dow Theory Forecasts, Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Nov. 7, 1985</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Dow Theory Forecasts, Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Aug. 23, 1983</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Edward F. O’Keefe, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Apr. 13, 1978</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Executive Analysts, Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Aug. 6, 1972</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>F. Eberstadt & Co., Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>July 2, 1978</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Ferris & Company, Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>May 23, 1972</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Fiduciary Management<br>
			Associates, Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>Mar. 5, 1984</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Foster & Marshall, Inc., SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Feb. 18, 1977</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Franklin Management, Inc.. SEC Staff Letter</p>
			</td>
			<td>
			<p>Dec. 10, 1998</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Gallagher and Associates, Ltd.. SEC Staff Letter</p>
			</td>
			<td>
			<p>July 10, 1995</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Great Lakes Advisors, Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>Apr. 3, 1992</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Horizon Asset Mgmt. LLC., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Sept. 13, 1996</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Investment Adviser Association,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Dec. 2, 2005</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Investment Company Institute,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Sept. 23, 1988</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Investment Company Institute,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Aug. 24, 1987</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p><a href="/divisions/investment/noaction/ica030104.htm">Investment Counsel Association<br>
			of America</a>, SEC Staff Letter</p>
			</td>
			<td>
			<p>Mar. 1, 2004</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Investor Intelligence (John<br>
			Anthony), SEC Staff Letter</p>
			</td>
			<td>
			<p>Apr. 18, 1975</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>J.D. Minnick & Co., SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Apr. 30, 1975</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p><a href="/divisions/investment/noaction/1996/jpmorganinvmgmtinc050796.pdf">J.P. Morgan Investment Mgmt.,<br>
			Inc.</a>, SEC Staff Letter</p>
			</td>
			<td>
			<p>May 7, 1996</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>James Maratta, SEC Staff Letter</p>
			</td>
			<td>
			<p>June 3, 1977</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Kurtz Capital Management, SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Jan. 18, 1988</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Mark Eaton, SEC Staff Letter</p>
			</td>
			<td>
			<p>June 9, 1977</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Munder Capital Mgmt., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>May 17, 1996</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>National Corporate Sciences,<br>
			Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>July 24, 1976</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>New York Investors Group, Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Sept. 7, 1982</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Norman L. Yu, SEC Staff Letter</p>
			</td>
			<td>
			<p>Apr. 12, 1971</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Oberweis Securities, Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>July 25, 1983</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Richard Silverman, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Mar. 27, 1985</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Securities Industry Association,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Nov. 27, 1989</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>South State Bank, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>May 8, 2018</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Stalker Advisory Services, SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Jan. 18, 1994</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Starr & Kuehl, Inc., SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Apr. 17, 1976</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Taurus Advisory Group, Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>July 15, 1993</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>The Mottin Forecast, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Nov. 29, 1975</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>The TCW Group, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Nov. 7, 2008</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Triad Asset Management, SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Apr. 22, 1993</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Alphadex Corp., SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Feb. 21, 1971</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>. <br>
			Statements relating to the Advertising Rule only are withdrawn. <a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Analytic Investment<br>
			Management Incorporated, SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Mar. 22, 1971</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>. <br>
			Statements relating to the Advertising Rule only are withdrawn. <a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p><a href="/divisions/investment/noaction/1996/association-for-investment-management-and-research-121896-206.pdf">Association for Investment<br>
			Management and Research</a>,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Dec. 18, 1996</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>. <br>
			Statements relating to the Advertising Rule only are withdrawn. <a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Bache & Company, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Feb. 5, 1976</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>. <br>
			Statements relating to the Advertising Rule only are withdrawn. <a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Cubitt-Nichols Associates, SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Dec. 22, 1971</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>. <br>
			Statements relating to the Advertising Rule only are withdrawn. <a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Scientific Market Analysis, SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Mar. 24, 1976</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>. <br>
			Statements relating to the Advertising Rule only are withdrawn. <a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p><a href="/investment/im-guidance-2014-04_0.pdf">Guidance on the Testimonial<br>
			Rule and Social Media</a>, SEC<br>
			Staff Guidance Update</p>
			</td>
			<td>
			<p>Mar. 2014</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td colspan="5"><b>Solicitation</b></td>
		</tr>
		<tr>
			<td>
			<p>Allen Isaacson, SEC Staff Letter*<br>
			*This is the same SEC Staff<br>
			Letter as Fried, Frank, et al.<br>
			below.</p>
			</td>
			<td>
			<p>Dec. 17, 1979</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>AMA Investment Advisers, Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Oct. 28, 1993</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p><a href="/divisions/investment/noaction/2006/ameriprise040506.htm">Ameriprise Financial Services,<br>
			Inc</a>., SEC Staff Letter</p>
			</td>
			<td>
			<p>Apr. 5, 2006</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Bond Timing Securities<br>
			Corporation, SEC Staff Letter</p>
			</td>
			<td>
			<p>Nov. 29, 1984</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Charles Schwab & Co. Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Apr. 29, 1998</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Dechert Price and Rhoads, SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Dec. 4, 1990</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>E. Magnus Oppenheim & Co.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Mar. 25, 1985</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>E.F. Hutton and Co. Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Sept. 21, 1987</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Excellence in Advertising, Ltd.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Dec. 15, 1986</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Fried, Frank, Harris, Shriver &<br>
			Jacobson, SEC Staff Letter</p>
			</td>
			<td>
			<p>Dec. 17, 1979</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Heys, Robert J., SEC Staff Letter</p>
			</td>
			<td>
			<p>May 12, 1986</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>International Association for<br>
			Financial Planning, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>June 1, 1998</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>JMB Financial Managers, Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>June 23, 1993</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Lincoln National Investment<br>
			Management Co., SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Mar. 26, 1992</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Mayer Brown LLP, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>July 15, 2008<br>
			(original);<br>
			July 28, 2008<br>
			(minor edits)</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Merchants Capital Management,<br>
			Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>Oct. 4, 1991</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Mid-States Capital Planning,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Apr. 11, 1983</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Moneta Group Investment<br>
			Advisors, Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>Oct. 12, 1993</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Stein, Roe and Farnham, Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>June 29, 1990</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Stein, Roe and Farnham Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>May 26, 1987</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Stonebridge Capital<br>
			Management, SEC Staff Letter</p>
			</td>
			<td>
			<p>Dec. 12, 1979</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>The Lowry Management Corp.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Sept. 7, 1982</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Trident Investment<br>
			Management, SEC Staff Letter</p>
			</td>
			<td>
			<p>Dec. 18, 1981</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Trinity Investment Management<br>
			Corp., SEC Staff Letter</p>
			</td>
			<td>
			<p>Mar. 7, 1980</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Van Eerden Investment<br>
			Advisory Services, Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>May 21, 1984</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Dana Investment Advisors, Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Oct. 12, 1994</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to the Cash Solicitation Rule only are withdrawn.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Denver Credit Union, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Sept. 15, 1988</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to the Cash Solicitation Rule only are withdrawn.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p><a href="/divisions/investment/noaction/nflpa012502.htm">National Football League<br>
			Players Ass’n</a>, SEC Staff Letter</p>
			</td>
			<td>
			<p>Jan. 25, 2002</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to the Cash Solicitation Rule only are withdrawn.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Roy Heybrock, SEC Staff Letter</p>
			</td>
			<td>
			<p>Apr. 5, 1982</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to the Cash Solicitation Rule only are withdrawn.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Shareholder Service<br>
			Corporation, SEC Staff Letter</p>
			</td>
			<td>
			<p>Feb. 3, 1989</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Modified.</strong><br>
			Statements relating to the Cash Solicitation Rule only are withdrawn.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td colspan="5"><b>Solicitation - Solicitor Disqualification Letters</b></td>
		</tr>
		<tr>
			<td>
			<p>Aeltus Investment Management,<br>
			Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>July 17, 2000</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn.</strong><br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p><a href="/divisions/investment/noaction/aig120804.htm">American International Group,<br>
			Inc.</a>, SEC Staff Letter</p>
			</td>
			<td>
			<p>Dec. 8, 2004</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p><a href="/divisions/investment/noaction/aig022106.htm">American International Group,<br>
			Inc.</a>, SEC Staff Letter</p>
			</td>
			<td>
			<p>Feb. 21, 2006</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn.</strong><br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p><a href="/divisions/investment/noaction/2009/automatedtrading031309.htm">Automated Trading Desk<br>
			Specialists, LLC</a>, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Mar. 13, 2009</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Banc of America Securities LLC,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>June 10, 2009</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Barclays Bank, PLC, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>June 6, 2007</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Bear Sterns & Co., Inc., and<br>
			several settling firms, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Jan. 1, 1999</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Bear, Stearns & Company Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Oct. 31, 2003</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Bear, Stearns Securities Corp.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Aug. 5, 1999</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>BT Alex. Brown Inc., SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Nov. 17, 1999</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>BT Securities Corp., SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Mar. 30, 1992</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Carnegie Asset Management,<br>
			Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>July 11, 1994</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Charles Schwab & Co., Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Aug. 7, 2018</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>CIBC Mellon Trust Company,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Feb. 24, 2005</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Citigroup Global Markets, Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Aug. 6, 2014</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Citigroup Global Markets, Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Dec. 23, 2008</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p><a href="/divisions/investment/noaction/citigroup103103.htm">Citigroup Global Markets Inc.,<br>
			f/k/a Salomon Smith Barney<br>
			Inc.</a>, SEC Staff Letter</p>
			</td>
			<td>
			<p>Oct. 31, 2003</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Citigroup Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>Oct. 22, 2010</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Credit Suisse, SEC Staff Letter</p>
			</td>
			<td>
			<p>May 20, 2014</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Credit Suisse First Boston Corp.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Aug. 24, 2000</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Credit Suisse First Boston LLC,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Oct. 31, 2003</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Deutsche Bank Securities Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Sept. 24, 2004</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Deutsche Bank Securities Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>June 9, 2009</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Dougherty & Company LLC,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>July 3, 2003</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Dougherty & Company LLC,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Mar. 21, 2003</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Dreyfus Corp., SEC Staff Letter</p>
			</td>
			<td>
			<p>Mar. 9, 2001</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>E*Trade Capital Markets LLC,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Mar. 12, 2009</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>E-Invest, Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>Sept. 22, 2000</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p><a href="/divisions/investment/noaction/2007/friedman011607.pdf">Emanuel J. Friedman; EJF<br>
			Capital LLC</a>, SEC Staff Letter</p>
			</td>
			<td>
			<p>Jan. 16, 2007</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>F. Porter Stansberry, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Sept. 30, 2015</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Fahnestock & Company Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Apr. 21, 2003</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>First City Capital Corp., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Feb. 9, 1990</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Founders Asset Management<br>
			LLC, SEC Staff Letter</p>
			</td>
			<td>
			<p>Nov. 8, 2000</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>General Electric Company, SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Aug. 12, 2009</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>General Electric Company, SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Aug. 2, 2010</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p><a href="/divisions/investment/noaction/2012/gefunding012512-206.htm">GE Funding Capital Market<br>
			Services, Inc.</a>, SEC Staff Letter</p>
			</td>
			<td>
			<p>Jan. 25, 2012</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Goldman, Sachs & Co., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Feb. 23, 2005</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Goldman, Sachs & Co., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>July 22, 2010</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Goldman, Sachs & Co., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Oct. 31, 2003</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Gruntal & Co., SEC Staff Letter</p>
			</td>
			<td>
			<p>July 17, 1996</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Hickory Capital Management,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Feb. 11, 1993</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>In re William R. Hough & Co./In<br>
			the Matter of Certain Municipal<br>
			Bond Refundings, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Apr. 13, 2000</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>In the Matter of Market Making<br>
			Activities on Nasdaq, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Jan. 11, 1999</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>ING Bank N.V., SEC Staff Letter</p>
			</td>
			<td>
			<p>Aug. 31, 2005</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Interstate/Johnson Lane Corp.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Apr. 21, 1997</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>J.B. Hanauer, SEC Staff Letter</p>
			</td>
			<td>
			<p>Apr. 27, 1999</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>J.B. Hanauer, SEC Staff Letter</p>
			</td>
			<td>
			<p>Dec. 12, 2000</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>JPMorgan Chase & Co., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>May 20, 2015</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>J.P. Morgan Securities Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Oct. 31, 2003</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>J.P. Morgan Securities Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Oct. 8, 2003</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>J.P. Morgan Securities Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Jan. 9, 2013</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>J.P. Morgan Securities Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>July 11, 2011</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>J.P. Morgan Securities Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>June 29, 2011</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>J.P. Turner & Company, L.L.C., et<br>
			al., SEC Staff Letter</p>
			</td>
			<td>
			<p>Sept. 10, 2012</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>James DeYoung, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Oct. 24, 2003</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Janney Montgomery Scott LLC<br>
			and Norman T. Wilde, Jr., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>July 18, 2000</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Kidder Peabody & Co., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Mar. 30, 1992</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Kidder Peabody & Co., Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Oct. 11, 1990</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Legg Mason Wood Walker, Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>June 11, 2001</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Lehman Brothers, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Oct. 31, 2003</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Macquarie Capital (USA) Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>June 1, 2017</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>McDonald Investments Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Apr. 2, 1999</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Merrill Lynch, Pierce, Fenner &<br>
			Smith Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>Sept. 15, 1999</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Merrill Lynch, Pierce, Fenner &<br>
			Smith Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>Aug. 7, 1997</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p><a href="/divisions/investment/noaction/merrill103103.htm">Merrill Lynch, Pierce, Fenner &<br>
			Smith Inc</a>., SEC Staff Letter</p>
			</td>
			<td>
			<p>Oct. 31, 2003</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Millennium Partners, L.P., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Mar. 9, 2006</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Mitchell Hutchins Asset<br>
			Management, Inc., SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Jan. 2, 1998</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Morgan Keegan & Co., Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Jan. 9, 1998</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Morgan Stanley & Co.,<br>
			Incorporated, SEC Staff Letter</p>
			</td>
			<td>
			<p>May 15, 2006</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Morgan Stanley & Co., Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Feb. 4, 2005</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Morgan Stanley & Co., SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Oct. 31, 2003</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Nationsbanc Investments, Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>May 6, 1998</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Norman Zadeh and Prime<br>
			Advisors, Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>Nov. 8, 2001</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Oppenheimer & Co., Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>June 5, 1992</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>PaineWebber Inc., SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Dec. 22, 1998</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Paul Laude, CFP, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>June 22, 2000</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Prudential Financial, Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Sept. 5, 2008</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Prudential Securities Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Sept. 5, 2008</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Prudential Securities Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Feb. 7, 2001</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Ramius Capital Management,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Apr. 5, 1996</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>RBC Capital Markets Corp., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>June 10, 2009</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>RBS Securities, Inc., SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Nov. 26, 2013</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>RNC Capital Management Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Feb. 7, 1989</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Royal Bank of Canada, SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Dec. 19, 2014</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Salomon Brothers, Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Jan. 26, 1994</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Stein Roe & Farnham Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Aug. 25, 1988</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Stein Roe Farnham - Touche<br>
			Remnant Holdings Ltd., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Jan. 20, 1990</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Stephanie Hibler, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Jan. 24, 2014</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Stephens Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>Dec. 27, 2001</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Stifel, Nicolaus & Company, Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Dec. 6, 2016</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>The Dreyfus Corp., SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Mar. 9, 2001</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Thomas Weisel Partners LLC,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Sept. 24, 2004</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Tucker Anthony Inc., SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Dec. 21, 2000</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>U.S. Bancorp Piper Jaffray Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Oct. 31, 2003</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>UBS AG, SEC Staff Letter</p>
			</td>
			<td>
			<p>May 20, 2015</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>UBS AG, SEC Staff Letter</p>
			</td>
			<td>
			<p>Mar. 20, 2009</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>UBS Financial Services Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>May 9, 2011</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p><a href="/divisions/investment/noaction/ubs103103.htm">UBS Securities LLC (f/k/a UBS<br>
			Warburg LLC)</a>, SEC Staff Letter</p>
			</td>
			<td>
			<p>Oct. 31, 2003</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p><a href="/divisions/investment/noaction/2008/ubs122308.htm">UBS Securities LLC/UBS<br>
			Financial Services Inc.</a>, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Dec. 23, 2008</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Wachovia Securities LLC, SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Feb. 18, 2009</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Wells Fargo Bank, N.A., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>July 15, 2013</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Wells Fargo Bank, N.A., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Sept. 21, 2012</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Wells Fargo Bank, N.A., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Dec. 12, 2011</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation – Solicitor Disqualification Letters</p>
			</td>
		</tr>
		<tr>
			<td colspan="5"><b>Advertising or Solicitation & Other Topics</b></td>
		</tr>
		<tr>
			<td>
			<p>Andrew M. Rich, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Feb. 22, 1989</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Charles Schwab & Co., SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Dec. 17, 1980</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Charles Swanson, SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Apr. 10, 1972</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Cunningham Advisory Services,<br>
			Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>Apr. 27, 1987</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>J.Y. Barry Arbitrage<br>
			Management, Inc., SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Oct. 18, 1989</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>James B. Peeke & Co., Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Sept. 13, 1982</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Koyen, Clarke and Assoc. Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Nov. 10, 1986</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Mills-Price & Associates, Inc.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>July 15, 1992</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Multi-Financial Securities Corp.,<br>
			SEC Staff Letter</p>
			</td>
			<td>
			<p>Nov. 9, 1995</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>S. H. Dike & Co., Inc., SEC Staff<br>
			Letter</p>
			</td>
			<td>
			<p>Apr. 20, 1975</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Securities International, Ltd.,<br>
			dba ITZ, Ltd., SEC Staff Letter</p>
			</td>
			<td>
			<p>Mar. 14, 1989</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Solicitation</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Schield Stock Services, Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Feb. 26, 1972</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ia-5653.pdf">See Investment Advisers Rel. No. 5653<br>
			(Nov. 4, 2022)</a> and <a href="/files/2021-10-information-update.pdf">IM Information Update<br>
			2021-10</a> for more information.</p>
			</td>
			<td>
			<p>Advertising</p>
			</td>
		</tr>
		<tr>
			<td colspan="5"><b>Affiliated Transactions</b></td>
		</tr>
		<tr>
			<td>
			<p>Investment Company Institute, SEC Staff Letter</p>
			</td>
			<td>
			<p>March 19, 2020</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><b>Withdrawn</b>. <i>See</i> Staff Statement Regarding Termination Notice For Exemptive Relief and Withdrawal of Staff Letters Related To COVID-19 Response for more information.</p>
			</td>
			<td></td>
		</tr>
		<tr>
			<td>
			<p>Investment Company Institute, SEC Staff Letter</p>
			</td>
			<td>
			<p>March 19, 2020</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><b>Withdrawn</b>. <i>See</i> Staff Statement Regarding Termination Notice For Exemptive Relief and Withdrawal of Staff Letters Related To COVID-19 Response for more information.</p>
			</td>
			<td></td>
		</tr>
		<tr>
		</tr>
		<tr>
			<td>
			<p>Investment Company Institute, SEC Staff Letter</p>
			</td>
			<td>
			<p>March 26, 2020</p>
			</td>
			<td>
			<p>Nov. 4, 2022</p>
			</td>
			<td>
			<p><b>Withdrawn</b>. <i>See</i> Staff Statement Regarding Termination Notice For Exemptive Relief and Withdrawal of Staff Letters Related To COVID-19 Response for more information.</p>
			</td>
			<td>
			<p>Money Market Funds</p>
			</td>
		</tr>
		<tr>
			<td colspan="5"><b>Anti-Takeover Statutes</b></td>
		</tr>
		<tr>
			<td>Boulder Total Return Fund, Inc., SEC Staff Letter</td>
			<td>Nov. 15, 2010</td>
			<td>May 27, 2020</td>
			<td><b>Withdrawn</b> <i>See</i> Staff Statement: Control Share Acquisition Statutes for more information.</td>
			<td>Anti-Takeover Statutes; Closed-End Investment Companies; Voting Security</td>
		</tr>
		<tr>
			<td colspan="5"><b>Staff Letters including Statements Relating to Section 18 of the Investment Company Act</b></td>
		</tr>
		<tr>
			<td>
			<p>Merrill Lynch Asset Management, L.P., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>July 2, 1996</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Robertson Stephens Investment Trust, SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Aug. 24, 1995</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Sanford C. Bernstein Fund, Inc, SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>June 25, 1990</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Hutton Options Trading LP, SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Feb. 2, 1989</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Dreyfus Strategic Investing and Dreyfus Strategic Income, SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>June 22, 1987</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>SAFECO Municipal Bond Fund, Inc., SEC<br>
			Staff Letter</p>
			</td>
			<td>
			<p>Nov. 26, 1982</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td colspan="5"><b>Staff Issue of Interest including Statements Relating to Section 18 of the Investment Company Act</b></td>
		</tr>
		<tr>
			<td>
			<p>Funds Using Tender Option Bond (TOB) Financings, Investment Management Staff Issue of Interest</p>
			</td>
			<td>
			<p>Mar. 29, 2012</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td colspan="5"><b>Staff Letters including Statements Relating to Section 12(a) and Section 18 of the Investment Company Act</b></td>
		</tr>
		<tr>
			<td>
			<p>DataConcepts Fund, Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>Aug. 25, 1980</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Emerald Mgt. Co, SEC Staff Letter</p>
			</td>
			<td>
			<p>Jan. 21, 1978</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Withdrawn</strong>.<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td colspan="5"><b>Staff Letters including Statements Relating to Section 12(a), Section 18, and Section 17(f) of the Investment Company Act</b></td>
		</tr>
		<tr>
			<td>
			<p>Claremont Capital Corp., SEC Staff Letter</p>
			</td>
			<td>
			<p>Sept. 16, 1979</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 12 and statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td colspan="5"><b>Staff Letters including Statements Relating to Section 18 and Section 17(f) of the Investment Company Act</b></td>
		</tr>
		<tr>
			<td>
			<p>Investment Company Institute and SIFMA AMG, SEC Staff Letter</p>
			</td>
			<td>
			<p>May 27, 2020</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Franklin Templeton Investments, SEC Staff Letter</p>
			</td>
			<td>
			<p>June 19, 2009</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Prudential-Bache IncomeVertible Plus Fund, Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>Nov. 20, 1985</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>State Street Income Fund, State Street Balanced Fund, SEC Staff Letter</p>
			</td>
			<td>
			<p>Oct. 21, 1985</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>New England Life Government Securities Trust, SEC Staff Letter</p>
			</td>
			<td>
			<p>Sept. 26, 1985</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Thomson McKinnon Investment Trust, SEC Staff Letter</p>
			</td>
			<td>
			<p>Sept. 23, 1985</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Putnam Option Income Trust II, SEC Staff Letter</p>
			</td>
			<td>
			<p>Sept. 23, 1985</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>GMO Core Trust, SEC Staff Letter</p>
			</td>
			<td>
			<p>Aug. 19, 1985</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Bartlett Capital Trust, SEC Staff Letter</p>
			</td>
			<td>
			<p>Aug. 19, 1985</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Continental Option Income Plus Fund,, SEC Staff Letter</p>
			</td>
			<td>
			<p>Aug. 12, 1985</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Colonial High Yield Securities Trust, Colonial Enhanced Mortgage Trust, SEC Staff Letter</p>
			</td>
			<td>
			<p>July 25, 1985</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Putnam High Income Government Trust, SEC Staff Letter</p>
			</td>
			<td>
			<p>June 3, 1985</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Bartlett Management Trust, SEC Staff Letter</p>
			</td>
			<td>
			<p>May 17, 1985</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Drexel Series Trust – Government Securities Series, SEC Staff Letter</p>
			</td>
			<td>
			<p>Apr. 25, 1985</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Koenig Tax-Advantaged Liquidity Fund, Inc, SEC Staff Letter</p>
			</td>
			<td>
			<p>Mar. 27, 1985</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Colonial Tax-Exempt High Yield Trust, SEC Staff Letter</p>
			</td>
			<td>
			<p>Dec. 31, 1984</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Monitrend Fund, SEC Staff Letter</p>
			</td>
			<td>
			<p>Nov. 14, 1984</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Pilot Fund, Inc, SEC Staff Letter</p>
			</td>
			<td>
			<p>Sept. 14, 1984</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Colonial Government Securities Plus Trust, SEC Staff Letter</p>
			</td>
			<td>
			<p>June 15, 1984</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Z-Seven Fund, Inc, SEC Staff Letter</p>
			</td>
			<td>
			<p>May 21, 1984</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Pension Hedge Fund Inc, SEC Staff Letter</p>
			</td>
			<td>
			<p>Jan. 20, 1984</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>SteinRoe Bond Fund, Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>Jan. 17, 1984</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>IDS Bond Fund, Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>Apr. 11, 1983</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>Montgomery Street Income Securities, Inc., SEC Staff Letter</p>
			</td>
			<td>
			<p>Apr. 11, 1983</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 are withdrawn<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td colspan="5"><b>Staff Letters including Statements Relating to Section 18 of the Investment Company Act as it relates to fund (i) use of options and (ii) engagement in securities lending activities</b></td>
		</tr>
		<tr>
			<td>
			<p>SIFE Trust Fund, SEC Staff Letter</p>
			</td>
			<td>
			<p>Feb. 17, 1982</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			Statements relating to section 18 and the use of written options are withdrawn. In connection with a securities loan in which the lending fund invests cash collateral in instruments other than cash and cash equivalents, only statements relating to section 18(f) and statements relating to the limitation on the amount of securities on loan are withdrawn.<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td colspan="5"><b>Staff Letters including Statements Relating to Section 18 of the Investment Company Act as it relates to fund engagement in securities lending activities</b></td>
		</tr>
		<tr>
			<td>
			<p>Salomon Brothers, SEC Staff Letter</p>
			</td>
			<td>
			<p>May 4, 1975</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			In connection with a securities loan in which the lending fund invests cash collateral in instruments other than cash and cash equivalents, only statements relating to section 18(f) and statements relating to the limitation on the amount of securities on loan are withdrawn.<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
			<td>
			<p>The Brinson Funds, et al., SEC Staff Letter</p>
			</td>
			<td>
			<p>Nov. 25, 1997</p>
			</td>
			<td>
			<p>August 19, 2022</p>
			</td>
			<td>
			<p><strong>Modified</strong>.<br>
			In connection with a securities loan in which the lending fund invests cash collateral in instruments other than cash and cash equivalents, only statements relating to section 18(f) and statements relating to the limitation on the amount of securities on loan are withdrawn.<br>
			<a href="/rules/final/2020/ic-34084.pdf">See Investment Company Act Rel. No. 34084<br>
			(Nov. 2, 2020)</a></p>
			</td>
			<td>
			<p>Senior Securities</p>
			</td>
		</tr>
		<tr>
		</tr>
		<tr>
			<td colspan="5"><b>ETFs</b></td>
		</tr>
		<tr>
			<td>SPDR Series Trust, et al., Staff Letter</td>
			<td>Jun. 24, 2015</td>
			<td>Dec. 23, 2020</td>
			<td><b>Withdrawn</b> <i>See</i> Staff Statement: Withdrawal of Staff Letters Related To Exchange-Traded Funds (ETFs) for more information.</td>
			<td>ETFs</td>
		</tr>
		<tr>
			<td>Derivatives Use by Actively-Managed ETFs, Staff Letter</td>
			<td>Dec. 6, 2012</td>
			<td>Dec. 23, 2020</td>
			<td><b>Withdrawn</b> <i>See</i> Staff Statement: Withdrawal of Staff Letters Related To Exchange-Traded Funds (ETFs) for more information.</td>
			<td>ETFs</td>
		</tr>
		<tr>
			<td>Barclays Global Fund Advisors et al., Staff Letter</td>
			<td>Mar. 12, 2009</td>
			<td>Dec. 23, 2020</td>
			<td><b>Withdrawn</b> <i>See</i> Staff Statement: Withdrawal of Staff Letters Related To Exchange-Traded Funds (ETFs) for more information.</td>
			<td>ETFs</td>
		</tr>
		<tr>
			<td>iShares Trust, et al., Staff Letter</td>
			<td>Oct. 22, 2008</td>
			<td>Dec. 23, 2020</td>
			<td><b>Withdrawn</b> <i>See</i> Staff Statement: Withdrawal of Staff Letters Related To Exchange-Traded Funds (ETFs) for more information.</td>
			<td>ETFs</td>
		</tr>
		<tr>
			<td colspan="5"><b>486(b) Staff Letters</b></td>
		</tr>
		<tr>
			<td>BlackRock Science and Technology Trust and BlackRock Utilities, Infrastructure & Power Opportunities Trust, SEC Staff Letter</td>
			<td>Mar. 3, 2020</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Eaton Vance Tax-Advantaged Dividend Income Fund et al., SEC Staff Letter</td>
			<td>Dec. 16, 2019</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>XAI Octagon Floating Rate & Alternative Income Term Trust, SEC Staff Letter</td>
			<td>Aug. 6, 2019</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Cushing MLP & Infrastructure Total Return Fund et al., SEC Staff Letter</td>
			<td>Aug. 6, 2019</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Nuveen S&P 500 Dynamic Overwrite Fund et al., SEC Staff Letter</td>
			<td>Apr. 26, 2019</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Voya Prime Rate Trust, SEC Staff Letter</td>
			<td>Apr. 8, 2019</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>PIMCO Income Strategy Fund et al., SEC Staff Letter</td>
			<td>Jan. 30, 2019</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Eaton Vance Tax-Managed Buy-Write Opportunities Fund et al., SEC Staff Letter</td>
			<td>Oct. 29, 2018</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>DNP Select Income Fund Inc., SEC Staff Letter</td>
			<td>Oct. 4, 2018</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>PIMCO Corporate & Income Opportunity Fund et al., SEC Staff Letter</td>
			<td>Sep. 13, 2018</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Eagle Point Credit Company Inc., SEC Staff Letter</td>
			<td>Feb. 14, 2018</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>PIMCO Dynamic Income Fund, SEC Staff Letter</td>
			<td>Dec. 12, 2017</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Nuveen California Select Tax-Free Income Portfolio, SEC Staff Letter</td>
			<td>Nov. 21, 2017</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Nuveen Municipal Income Fund, Inc. et al., SEC Staff Letter</td>
			<td>Jul. 27, 2017</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Guggenheim Credit Allocation Fund, SEC Staff Letter</td>
			<td>Apr. 5, 2017</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Invesco Senior Income Trust et al., SEC Staff Letter</td>
			<td>Jan. 26, 2017</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>The Herzfeld Caribbean Basin Fund, Inc., SEC Staff Letter</td>
			<td>Sep. 21, 2016</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>BlackRock Health Sciences Trust, SEC Staff Letter</td>
			<td>Feb. 25, 2016</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Fiduciary/Claymore MLP Opportunity Fund, SEC Staff Letter</td>
			<td>Jan. 7, 2016</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>BlackRock Limited Duration Income Trust et al., SEC Staff Letter</td>
			<td>Oct. 19, 2015</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Nuveen Credit Strategies Income Fund et al., SEC Staff Letter</td>
			<td>Nov. 7, 2014</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Guggenheim Strategic Opportunities Fund, SEC Staff Letter</td>
			<td>Oct. 2, 2014</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>The Gabelli Convertible & Income Securities Fund Inc., SEC Staff Letter</td>
			<td>Apr. 18, 2014</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>The Mexico Fund, Inc., SEC Staff Letter</td>
			<td>Dec. 31, 2013</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Aberdeen Asia-Pacific Income Fund, Inc., SEC Staff Letter</td>
			<td>Jun. 26, 2013</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Credit Suisse High Yield Bond Fund et al., SEC Staff Letter</td>
			<td>Jun. 26, 2013</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Eaton Vance Floating-Rate Income Trust et al., SEC Staff Letter</td>
			<td>Jun. 26, 2013</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>First Trust Strategic High Income Fund II et al., SEC Staff Letter</td>
			<td>Jun. 26, 2013</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>John Hancock Investors Trust et al., SEC Staff Letter</td>
			<td>Jun. 26, 2013</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>NexPoint Credit Strategies Fund, SEC Staff Letter</td>
			<td>Jun. 26, 2013</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Nuveen Select Quality Municipal Fund et al., SEC Staff Letter</td>
			<td>Jun. 26, 2013</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Aberdeen Australia Equity Fund, Inc. et al., SEC Staff Letter</td>
			<td>Apr. 12, 2012</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Calamos Convertible Opportunities and Income Fund et al., SEC Staff Letter</td>
			<td>Feb. 14, 2011</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Nuveen Municipal High Income Opportunity Fund et al., SEC Staff Letter</td>
			<td>Nov. 9, 2010</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Energy Income and Growth Fund et al., SEC Staff Letter</td>
			<td>Jul. 27, 2010</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Tortoise Energy Infrastructure Corporation et al., SEC Staff Letter</td>
			<td>Apr. 23, 2010</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr>
			<td colspan="5"><b>Closed-End Fund Shelf Offerings</b></td>
		</tr>
		<tr valign="top">
			<td>Nuveen Virginia Premium Income Municipal Fund, SEC Staff Letter</td>
			<td>Oct. 6, 2006</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr valign="top">
			<td>Pilgrim America Prime Rate Trust, SEC Staff Letter</td>
			<td>May 1, 1998</td>
			<td>Aug. 1, 2021</td>
			<td><b>Withdrawn</b> (effective: Aug. 1, 2021). <i>See</i> Investment Company Act Rel. No. 33836 (Apr. 8, 2020) and IM Information Update 2020-04 for more information.</td>
			<td>Closed-End Funds</td>
		</tr>
		<tr>
			<td colspan="5"><b>Variable Annuity and Variable Life Insurance Contracts</b></td>
		</tr>
		<tr>
			<td>Nationwide Life Insurance Company, SEC Staff Letter</td>
			<td>Mar. 16, 2001</td>
			<td>Jan. 1, 2022</td>
			<td><strong>Withdrawn </strong>(effective: January 1, 2022). <i>See</i> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information.</td>
			<td>Prospectuses-Disclosure;<br>
			Insurance Products</td>
		</tr>
		<tr>
			<td>Cova Financial Services Life Insurance Co., SEC Staff Letter</td>
			<td>Apr. 15, 1996</td>
			<td>Jan. 1, 2022</td>
			<td><strong>Withdrawn </strong>(effective: January 1, 2022). <i>See</i> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information.</td>
			<td>Prospectuses-Disclosure;<br>
			Insurance Products</td>
		</tr>
		<tr>
			<td>Metropolitan Life Insurance Co., SEC Staff Letter</td>
			<td>Apr. 26, 1995</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn </strong>(effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01 for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td>Monarch Life Insurance Company, SEC Staff Letter</td>
			<td>Jun. 9, 1992</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn </strong>(effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01  for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td>Great-West Life and Annuity Insurance Company, SEC Staff Letter</td>
			<td>Oct. 23, 1990</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn </strong>(effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01  for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td>The Equitable Life Assurance Society of the United States, SEC Staff Letter</td>
			<td>Aug. 30, 1990</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn </strong>(effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01  for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td>MML Bay State Life Ins. Co., SEC Staff Letter</td>
			<td>Apr. 12, 1990</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn</strong> (effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01  for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td>Transamerica Occidental Life Insurance Co., SEC Staff Letter</td>
			<td>Mar. 16, 1990</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn </strong>(effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01  for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td>Connecticut Mutual Life Insurance Company, SEC Staff Letter</td>
			<td>Mar. 7, 1990</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn </strong>(effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01  for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td>MONY Life Insurance Company of America, SEC Staff Letter</td>
			<td>Feb. 27, 1990</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn </strong>(effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01  for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td>Century Life of America, SEC Staff Letter</td>
			<td>Jan. 17, 1990</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn </strong>(effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01  for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td>New York Life Insurance and Annuity Corp., SEC Staff Letter</td>
			<td>Nov. 15, 1989</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn </strong>(effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01  for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td>Bankers National Life Insurance Co., SEC Staff Letter</td>
			<td>Apr. 28, 1989</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn </strong>(effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01  for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td>Volunteer State Life Insurance Company, SEC Staff Letter</td>
			<td>Feb. 10, 1989</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn </strong>(effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01  for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td>Metropolitan Tower Life Insurance Company, SEC Staff Letter</td>
			<td>May 12, 1988</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn </strong>(effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01  for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td>Security Benefit Life Insurance Company, SEC Staff Letter</td>
			<td>Jul. 2, 1987</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn </strong>(effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01  for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td>Life Insurance Company of North America, SEC Staff Letter</td>
			<td>Jun. 16, 1986</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn </strong>(effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01  for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td>Pacific Fidelity Life Insurance Company, SEC Staff Letter</td>
			<td>Jan. 27, 1986</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn</strong> (effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01  for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td>Federal Life Variable Annuity Account A, SEC Staff Letter</td>
			<td>May 10, 1982</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn</strong> (effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01  for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td>Horace Mann Life Insurance Company, SEC Staff Letter</td>
			<td>Mar. 31, 1982</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn </strong>(effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01  for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td>Horace Mann Life Insurance Company, SEC Staff Letter</td>
			<td>Apr. 10, 1981</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn </strong>(effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020) and IM Information Update 2020-01  for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td>Washington National Insurance Company, SEC Staff Letter</td>
			<td>May 17, 1978</td>
			<td>Jul. 1, 2020</td>
			<td><strong>Withdrawn </strong>(effective: July 1, 2020). <em>See</em> Investment Company Act Rel. No. 33814 (Mar. 11, 2020 and IM Information Update 2020-01  for more information.</td>
			<td>Prospectuses-Delivery</td>
		</tr>
		<tr>
			<td colspan="5"><b>Proxy</b></td>
		</tr>
		<tr>
			<td>Institutional Shareholder Services, Inc., SEC Staff Letter</td>
			<td>Sep. 15, 2004</td>
			<td>Sep. 13, 2018</td>
			<td><strong>Withdrawn</strong>. <em>See</em> Statement Regarding Staff Proxy Advisory Letters, Division of Investment Management (Sep. 13, 2018) for more information.</td>
			<td>Proxy</td>
		</tr>
		<tr>
			<td>Egan-Jones Proxy Services, SEC Staff Letter</td>
			<td>May 27, 2004</td>
			<td>Sep. 13, 2018</td>
			<td><strong>Withdrawn</strong>. <em>See</em> Statement Regarding Staff Proxy Advisory Letters, Division of Investment Management (Sep. 13, 2018) for more information.</td>
			<td>Proxy</td>
		</tr>
		<tr>
			<td colspan="5"><b>Standard of Conduct</b></td>
		</tr>
		<tr>
			<td>Heitman Capital Management, LLC, SEC Staff Letter</td>
			<td>Feb. 12, 2007</td>
			<td>Jul. 12, 2019</td>
			<td><strong>Withdrawn</strong>. <em>See</em> Commission Interpretation Regarding Standard of Conduct for Investment Advisers, IA Rel. No. 5248 (June 5, 2019) for more information.</td>
			<td>Investment Advisers General</td>
		</tr>
		<tr>
			<td colspan="5"><b>Auditor Independence</b></td>
		</tr>
		<tr>
			<td>Fidelity Management & Research Company et al., SEC Staff Letter</td>
			<td>Sep. 22, 2017</td>
			<td>Oct. 3, 2019</td>
			<td><strong>Withdrawn</strong>. <em>See</em> Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships, IA Release No. 5255 (June 18, 2019) for more information.</td>
			<td>Accounting and Auditing</td>
		</tr>
		<tr>
			<td>Fidelity Management & Research Company et al., SEC Staff Letter</td>
			<td>Jun. 20, 2016</td>
			<td>Dec. 20, 2017</td>
			<td><strong>Expired</strong>. <em>See</em> Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships, IA Release No. 5255 (June 18, 2019) for more information.</td>
			<td>Accounting and Auditing</td>
		</tr>
		<tr>
			<td colspan="5"><b>Funds Of Funds</b></td>
		</tr>
		<tr>
			<td><a href="/divisions/investment/noaction/2017/dechert-012517-12d1.htm">Dechert LLP, SEC<br>
			Staff Letter</a></td>
			<td>Jan. 25, 2017</td>
			<td>Jan. 19, 2022</td>
			<td><b>Withdrawn</b> <i>See</i> Staff Statement Regarding Withdrawal Of Staff Letters Related To Rulemaking On Fund Of Funds Arrangements for more information.</td>
			<td>Fund of Funds</td>
		</tr>
		<tr>
			<td><a href="/divisions/investment/noaction/2016/thrivent-092716-12d1.htm">Thrivent Financial for Lutherans and Thrivent Asset Management, LLC,<br>
			SEC Staff Letter</a></td>
			<td>Sep. 27, 2016</td>
			<td>Jan. 19, 2022</td>
			<td><b>Withdrawn</b> <i>See</i> Staff Statement Regarding Withdrawal Of Staff Letters Related To Rulemaking On Fund Of Funds Arrangements for more information.</td>
			<td>Fund of Funds</td>
		</tr>
		<tr>
			<td>Northern Lights Fund Trust, SEC Staff Letter</td>
			<td>Jun. 29, 2015</td>
			<td>Jan. 19, 2022</td>
			<td><b>Withdrawn</b> <i>See</i> Staff Statement Regarding Withdrawal Of Staff Letters Related To Rulemaking On Fund Of Funds Arrangements for more information.</td>
			<td>Fund of Funds</td>
		</tr>
		<tr>
			<td><a href="/divisions/investment/noaction/2015/franklin-templeton-investments040315-12d1.htm">Franklin Templeton Investments, SEC<br>
			Staff Letter</a></td>
			<td>Apr. 3, 2015</td>
			<td>Jan. 19, 2022</td>
			<td><b>Withdrawn</b> <i>See</i> Staff Statement Regarding Withdrawal Of Staff Letters Related To Rulemaking On Fund Of Funds Arrangements for more information.</td>
			<td>Fund of Funds</td>
		</tr>
		<tr>
			<td>John Hancock Trust, et al., SEC Staff Letter</td>
			<td>Apr. 12, 2012</td>
			<td>Jan. 19, 2022</td>
			<td><b>Withdrawn</b> <i>See</i> Staff Statement Regarding Withdrawal Of Staff Letters Related To Rulemaking On Fund Of Funds Arrangements for more information.</td>
			<td>Fund of Funds</td>
		</tr>
		<tr>
			<td>FQF Trust, et al., SEC Staff Letter</td>
			<td>Dec. 13, 2011</td>
			<td>Jan. 19, 2022</td>
			<td><b>Withdrawn</b> <i>See</i> Staff Statement Regarding Withdrawal Of Staff Letters Related To Rulemaking On Fund Of Funds Arrangements for more information.</td>
			<td>Fund of Funds</td>
		</tr>
		<tr>
			<td>Evergreen Investment Management Company, LLC, et al., SEC Staff Letter</td>
			<td>Oct. 11, 2005</td>
			<td>Jan. 19, 2022</td>
			<td><b>Withdrawn</b> <i>See</i> Staff Statement Regarding Withdrawal Of Staff Letters Related To Rulemaking On Fund Of Funds Arrangements for more information.</td>
			<td>Fund of Funds/ Money Market Funds</td>
		</tr>
		<tr>
			<td>Neuberger Berman Management Inc., et al., SEC Staff Letter</td>
			<td>Apr. 30, 2003</td>
			<td>Jan. 19, 2022</td>
			<td><b>Withdrawn</b> <i>See</i> Staff Statement Regarding Withdrawal Of Staff Letters Related To Rulemaking On Fund Of Funds Arrangements for more information.</td>
			<td>Fund of Funds</td>
		</tr>
		<tr>
			<td>The AAL Mutual Funds, et al., SEC Staff Letter</td>
			<td>Dec. 12, 2002</td>
			<td>Jan. 19, 2022</td>
			<td><b>Withdrawn</b> <i>See</i> Staff Statement Regarding Withdrawal Of Staff Letters Related To Rulemaking On Fund Of Funds Arrangements for more information.</td>
			<td>Fund of Funds/ Affiliated Transactions - Other</td>
		</tr>
		<tr>
			<td>Frank Russell Investment Company, et al., SEC Staff Letter</td>
			<td>Oct. 18, 2002</td>
			<td>Jan. 19, 2022</td>
			<td><strong>Withdrawn to the extent letter relates to the<br>
			portion of the referenced order that is rescinded</strong>: <em>See</em> Staff Statement Regarding Withdrawal Of Staff Letters Related To Rulemaking On Fund Of Funds Arrangements for more information.</td>
			<td>Fund of Funds/ Closed-End Investment Companies</td>
		</tr>
		<tr>
			<td>Forum Financial Services, et al., SEC Staff Letter</td>
			<td>Oct. 28, 1997</td>
			<td>Jan. 19, 2022</td>
			<td><b>Withdrawn</b> <i>See</i> Staff Statement Regarding Withdrawal Of Staff Letters Related To Rulemaking On Fund Of Funds Arrangements for more information.</td>
			<td>Fund of Funds</td>
		</tr>
		<tr>
			<td>Norwest Advantage Funds and Core Trust (Delaware), SEC Staff Letter</td>
			<td>Jul. 1, 1997</td>
			<td>Jan. 19, 2022</td>
			<td><b>Withdrawn</b> <i>See</i> Staff Statement Regarding Withdrawal Of Staff Letters Related To Rulemaking On Fund Of Funds Arrangements for more information.</td>
			<td>Fund of Funds</td>
		</tr>
		<tr>
			<td colspan="5"><b>Markets in Financial Instruments Directive II (MiFID II)</b></td>
		</tr>
		<tr>
			<td>Securities Industry and Financial Markets Association, SEC Staff Letter</td>
			<td>
			<p>Oct. 26, 2017</p>
			</td>
			<td>July 3, 2023</td>
			<td><b>Expired</b>.</td>
			<td>MiFID II</td>
		</tr>
		<tr>
			<td><a data-entity-substitution="canonical" data-entity-type="node" data-entity-uuid="1d239b69-b45f-44df-84cf-47ca20688773" href="/investment/sifma-110419" title="sifma-110419">Securities Industry and Financial Markets Association</a>, SEC Staff Letter</td>
			<td>
			<p>Nov. 4, 2019</p>
			</td>
			<td>July 3, 2023</td>
			<td><b>Expired</b>.</td>
			<td>MiFID II</td>
		</tr>
		<!-- <tr> <td>TD</td> <td>TD</td> <td>TD</td> <td>TD</td> <td>TD</td> </tr> -->
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              <p class="modified-date"><em>Modified: Nov. 28, 2023</em>
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