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          <h1>Investment Management</h1>
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<h1 class="margin-top-0 margin-bottom-0">Topical Reference Guide</h1>

<p><em>This Topical Reference Guide is intended to gather into one webpage various resources in areas that may be of interest to practitioners and others. This Topical Reference Guide is not, however, an exhaustive list of staff guidance or other staff information (collectively, “Staff Statements”), resources, or Commission action pertaining to a particular topic. The Division will continue to update these topics with new and historical materials that also can be accessed below.</em></p>

<p><em>Staff Statements represent the views of the Division of Investment Management. A Staff Statement is not a rule, regulation or statement of the Commission, and the Commission has neither approved nor disapproved its content.</em></p>

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<p>A non-exhaustive list of no-action letters and other staff statements that have been modified or withdrawn is available on our Modified or Withdrawn Staff Statements webpage.</p> 

<p>A compendium of resources related to the law and interpretations concerning disclosure are also available on our Accounting and Disclosure Information (ADI) webpage.
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          Accounting and Auditing
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                                                                          <th id="view-field-subtopic-table-column" class="views-field views-field-field-subtopic" scope="col">
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                                                                          <th id="view-field-tags-table-column" class="views-field views-field-field-tags" scope="col">
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                                                                          <th id="view-field-publish-date-table-column" class="views-field views-field-field-publish-date" scope="col">
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                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/grover-seward-kissel-121119-rule206" target="_blank">Robert Van Grover Esq., Seward & Kissel LLP</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-12-11T18:35:47Z" class="datetime">Dec. 11, 2019</time>



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                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/accounting-and-disclosure-information/accounting/industry-comment-letter-112219.pdf" target="_blank">From the Chief Accountant, Letter to CFOs</a>
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                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
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                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
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                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-11-22T19:19:13Z" class="datetime">Nov. 22, 2019</time>



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                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.sec.gov/investment/accounting-matters-bibiography" target="_blank">Accounting Matters Bibliography</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-11-22T16:57:26Z" class="datetime">Nov. 22, 2019</time>



          </td>
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                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.ecfr.gov/cgi-bin/text-idx?amp%3Bnode=17%3A3.0.1.1.8&rgn=div5" target="_blank">Regulation S-X</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
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                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2018-08-17T08:00:00Z" class="datetime">Aug. 17, 2018</time>



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                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Company Reporting Modernization Frequently Asked Questions
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2018-04-27T04:00:00Z" class="datetime">April 27, 2018</time>



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                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Staff Accounting Bulletins
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                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-12-22T07:00:00Z" class="datetime">Dec. 22, 2017</time>



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                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.sec.gov/divisions/investment/noaction/2017/fidelity-management-research-092217-regsx-rule-2-01.htm" target="_blank">Fidelity Management & Research Company et al. (Withdrawn)</a>
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                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-09-22T04:00:00Z" class="datetime">Sept. 22, 2017</time>



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                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2016/fidelity-management-research-company-062016.htm" target="_blank">Fidelity Management & Research Company et al. (Withdrawn)</a>
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                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-06-20T04:00:00Z" class="datetime">June 20, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Carey Credit Income Fund et al.
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-07-15T04:00:00Z" class="datetime">July 15, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Guidance Regarding Investment Company Consolidation
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-10-31T04:00:00Z" class="datetime">Oct. 31, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Robert Van Grover, Esq., Seward & Kissel LLP
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-11-05T05:00:00Z" class="datetime">Nov. 5, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Guidance Regarding Business Development Companies - Separate Financial Statements or Summarized Financial Information of Certain Subsidiaries
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-09-27T04:00:00Z" class="datetime">Sept. 27, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Copley
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-08-02T04:00:00Z" class="datetime">Aug. 2, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Copley
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-06-18T04:00:00Z" class="datetime">June 18, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Form PF
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-04-25T04:00:00Z" class="datetime">April 25, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Copley
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-04-05T04:00:00Z" class="datetime">April 5, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>After-Tax Return
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-02-22T05:00:00Z" class="datetime">Feb. 22, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Guidance for Consulting with the Office of the Chief Accountant
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-12-18T05:00:00Z" class="datetime">Dec. 18, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Company Institute
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-09-05T04:00:00Z" class="datetime">Sept. 5, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Work Plan for Global Accounting Standards
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-07-13T04:00:00Z" class="datetime">July 13, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Business Development Companies- Auditor Verification of Securities Owned
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-03-12T04:00:00Z" class="datetime">March 12, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Auditor Independence
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-12-13T05:00:00Z" class="datetime">Dec. 13, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Custody Rule
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-12-13T05:00:00Z" class="datetime">Dec. 13, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Technical Amendments to Commission Rules and Forms Related to the FASB's Accounting Standards Codification
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-08-08T04:00:00Z" class="datetime">Aug. 8, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Seward & Kissel
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-07-21T04:00:00Z" class="datetime">July 21, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Codification of Staff Accounting Bulletins
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-03-14T08:00:00Z" class="datetime">March 14, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>American Institute of Certified Public Accountants
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-12-23T05:00:00Z" class="datetime">Dec. 23, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Seward & Kissell
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-10-12T04:00:00Z" class="datetime">Oct. 12, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Derivatives-Related Disclosures by Investment Companies
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-07-30T04:00:00Z" class="datetime">July 30, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2010/abaretirement060710.htm" target="_blank">ABA Retirement Funds Program</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-06-07T04:00:00Z" class="datetime">June 7, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Commission Guidance Regarding Independent Public Accountant Engagements Performed Pursuant to Rule 206(4)-2 Under the Investment Advisers Act of 1940- IA 2969
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-12-30T05:00:00Z" class="datetime">Dec. 30, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Custody of Funds or Securities of Clients by Investment Advisers- IA-2968
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-12-30T05:00:00Z" class="datetime">Dec. 30, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Valuation of Portfolio Securities and other Assets Held by Registered Investment Companies - Select Bibliography of the Division of Investment Management
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-03-20T04:00:00Z" class="datetime">March 20, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Office of the Chief Accountant and FASB Staff Clarifications on Fair Value Accounting
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-09-30T04:00:00Z" class="datetime">Sept. 30, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fidelity Gold Portfolio
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-04-29T04:00:00Z" class="datetime">April 29, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>NGP Capital Resources
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-12-28T05:00:00Z" class="datetime">Dec. 28, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Implementation of FASB Interpretation No. 48, Letter to Fidelity Investments, Massachusetts Financial Services Company and OppenheimerFunds, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-06-28T04:00:00Z" class="datetime">June 28, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Disclosure of Fund of Funds Expenses
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-05-23T04:00:00Z" class="datetime">May 23, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Implementation of FASB Interpretation No. 48, Letter to ICI
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-12-22T05:00:00Z" class="datetime">Dec. 22, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Deloitte
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-08-28T04:00:00Z" class="datetime">Aug. 28, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ABA Subcommittee on Private Investment Entities
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2005-12-08T05:00:00Z" class="datetime">Dec. 8, 2005</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Auditing Standards for Financial Statements of Insurance Company Depositors of Variable Insurance Products, Staff Letters
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2005-03-08T05:00:00Z" class="datetime">March 8, 2005</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Strengthening the Commission's Requirements Regarding Auditor Independence
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-01-28T05:00:00Z" class="datetime">Jan. 28, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Mutual Fund After-Tax Return Requirements
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-01-14T05:00:00Z" class="datetime">Jan. 14, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>From the Chief Accountant, Letter to CFOs
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-02-14T05:00:00Z" class="datetime">Feb. 14, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Revision of the Commission's Auditor Independence Requirements
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2000-11-21T05:00:00Z" class="datetime">Nov. 21, 2000</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>From the Chief Accountant, Letter to CFOs
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1999-12-30T05:00:00Z" class="datetime">Dec. 30, 1999</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>From the Chief Accountant, Letter to CFOs
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-12-30T05:00:00Z" class="datetime">Dec. 30, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>From the Chief Accountant, Letter to CFOs
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-11-07T05:00:00Z" class="datetime">Nov. 7, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>From the Chief Accountant, Letter to CFOs
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1996-11-01T05:00:00Z" class="datetime">Nov. 1, 1996</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>From the Chief Accountant, Letter to CFOs
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-11-02T05:00:00Z" class="datetime">Nov. 2, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>From the Chief Accountant, Letter to CFOs
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-02-03T05:00:00Z" class="datetime">Feb. 3, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>From the Chief Accountant, Letter to CFOs
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-11-01T05:00:00Z" class="datetime">Nov. 1, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Accounting Series Release No. 219: Valuation of Debt Instruments by Money Market Funds and Certain Other Open-End Investment Companies
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1977-05-31T04:00:00Z" class="datetime">May 31, 1977</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Accounting Series Release No. 118: Accounting for Investment Securities by Registered Investment Companies
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1970-12-23T05:00:00Z" class="datetime">Dec. 23, 1970</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Accounting Series Release No. 113: Statement Regarding "Restricted Securities
          </td>
                                                              <td headers="view-field-subtopic-table-column" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1969-10-21T04:00:00Z" class="datetime">Oct. 21, 1969</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Advertising/Performance/Social Media
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--2" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--2" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--2" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--2" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--2" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/investment-adviser-marketing" target="_blank">Investment Adviser Marketing</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--2" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--2" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--2" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2021-05-04T13:57:42Z" class="datetime">May 4, 2021</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--2" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.sec.gov/investment/marketing-faq" target="_blank">Marketing Compliance Frequently Asked Questions</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--2" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--2" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--2" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2021-03-19T19:43:17Z" class="datetime">March 19, 2021</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--2" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>South State Bank
          </td>
                                                              <td headers="view-field-subtopic-table-column--2" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--2" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--2" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2018-05-08T04:00:00Z" class="datetime">May 8, 2018</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--2" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Redwood Trust, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--2" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--2" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--2" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-10-16T04:00:00Z" class="datetime">Oct. 16, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--2" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Guidance on the Testimonial Rule and Social Media
          </td>
                                                              <td headers="view-field-subtopic-table-column--2" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--2" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--2" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-03-28T04:00:00Z" class="datetime">March 28, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--2" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Guidance on the Testimonial Rule and Social Media
          </td>
                                                              <td headers="view-field-subtopic-table-column--2" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--2" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--2" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-03-15T04:00:00Z" class="datetime">March 15, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--2" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Regulation of Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--2" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--2" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--2" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-03-01T05:00:00Z" class="datetime">March 1, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--2" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles
          </td>
                                                              <td headers="view-field-subtopic-table-column--2" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--2" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--2" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-08-03T04:00:00Z" class="datetime">Aug. 3, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--2" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ABA Subcommittee on Private Investment Entities
          </td>
                                                              <td headers="view-field-subtopic-table-column--2" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--2" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--2" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-08-10T04:00:00Z" class="datetime">Aug. 10, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--2" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Franklin Management, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--2" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--2" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--2" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-12-10T05:00:00Z" class="datetime">Dec. 10, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--2" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>DALBAR, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--2" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--2" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--2" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-03-24T05:00:00Z" class="datetime">March 24, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--2" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>GE Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--2" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--2" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--2" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-02-07T05:00:00Z" class="datetime">Feb. 7, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--2" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Clover Capital Management, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--2" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--2" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--2" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1986-10-28T05:00:00Z" class="datetime">Oct. 28, 1986</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Advisory Contract/Fees - Investment Adviser
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--3" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--3" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--3" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--3" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--3" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/differential-advisory-fee-waivers" target="_self">Differential Advisory Fee Waivers</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--3" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--3" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--3" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2023-02-02T22:09:10Z" class="datetime">Feb. 2, 2023</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--3" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Amerivest Investment Management, LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--3" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--3" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--3" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-08-19T04:00:00Z" class="datetime">Aug. 19, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--3" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Regulation of Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--3" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--3" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--3" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-03-01T05:00:00Z" class="datetime">March 1, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--3" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>The Ayco Company L.P.
          </td>
                                                              <td headers="view-field-subtopic-table-column--3" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--3" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--3" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-12-14T05:00:00Z" class="datetime">Dec. 14, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--3" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>George Colman
          </td>
                                                              <td headers="view-field-subtopic-table-column--3" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--3" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--3" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-07-18T04:00:00Z" class="datetime">July 18, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--3" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dean Witter, Discover & Co.
          </td>
                                                              <td headers="view-field-subtopic-table-column--3" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--3" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--3" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1993-02-08T05:00:00Z" class="datetime">Feb. 8, 1993</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Advisory Contract/Fees - Investment Company
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--4" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--4" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--4" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--4" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--4" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Nuveen Fund Advisors, LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--4" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--4" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--4" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-06-20T04:00:00Z" class="datetime">June 20, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--4" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>American Century Investment Management, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--4" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--4" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--4" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-12-20T05:00:00Z" class="datetime">Dec. 20, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--4" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>RiverNorth
          </td>
                                                              <td headers="view-field-subtopic-table-column--4" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--4" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--4" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-07-28T04:00:00Z" class="datetime">July 28, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--4" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>RS Global Natural Resources Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--4" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--4" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--4" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-03-06T05:00:00Z" class="datetime">March 6, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--4" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Emerging Global Advisors, LLC and EGA Emerging Global Shares Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--4" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--4" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--4" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-02-27T05:00:00Z" class="datetime">Feb. 27, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--4" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Claymore Advisors, LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--4" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--4" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--4" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-04-27T04:00:00Z" class="datetime">April 27, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--4" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Franklin Templeton Investments
          </td>
                                                              <td headers="view-field-subtopic-table-column--4" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--4" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--4" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-06-19T04:00:00Z" class="datetime">June 19, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--4" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fortis Group, et al.
          </td>
                                                              <td headers="view-field-subtopic-table-column--4" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--4" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--4" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-01-27T05:00:00Z" class="datetime">Jan. 27, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--4" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>First Trust/Gallatin Specialty Finance and Financial Opportunities Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--4" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--4" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--4" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-07-11T04:00:00Z" class="datetime">July 11, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--4" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Citigroup Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--4" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--4" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--4" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-07-26T04:00:00Z" class="datetime">July 26, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--4" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Eaton Vance Special Investment Trust, et al
          </td>
                                                              <td headers="view-field-subtopic-table-column--4" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--4" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--4" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-03-30T05:00:00Z" class="datetime">March 30, 2004</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--4" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Gartmore Mutual Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--4" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--4" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--4" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-03-19T05:00:00Z" class="datetime">March 19, 2004</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--4" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Constellation Financial Management LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--4" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--4" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--4" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-01-09T05:00:00Z" class="datetime">Jan. 9, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--4" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>The Chase Manhattan Bank
          </td>
                                                              <td headers="view-field-subtopic-table-column--4" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--4" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--4" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-07-24T04:00:00Z" class="datetime">July 24, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--4" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Daughters of Charity National Health System, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--4" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--4" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--4" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-04-03T05:00:00Z" class="datetime">April 3, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--4" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Franklin Templeton Group of Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--4" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--4" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--4" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-07-23T04:00:00Z" class="datetime">July 23, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--4" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Century Shares Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--4" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--4" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--4" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-05-04T04:00:00Z" class="datetime">May 4, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--4" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dean Witter, Discover & Co.
          </td>
                                                              <td headers="view-field-subtopic-table-column--4" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--4" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--4" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1993-02-08T05:00:00Z" class="datetime">Feb. 8, 1993</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Affiliated Transactions/Joint Transactions
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--5" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--5" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/carlyle-global-credit-101923" target="_blank">Carlyle Global Credit Investment Management, L.L.C.</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2023-10-19T17:51:32Z" class="datetime">Oct. 19, 2023</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.sec.gov/investment/valuation-faq" target="_blank">Valuation Frequently Asked Questions</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2021-03-18T20:30:14Z" class="datetime">March 18, 2021</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/news/public-statement/investment-management-statement-investment-company-cross-trading-031121" target="_self">Staff Statement on Investment Company Cross Trading</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2021-03-11T20:08:21Z" class="datetime">March 11, 2021</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.sec.gov/investment/ici-sifma-052720" target="_blank">Investment Company Institute and SIFMA AMG</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2020-05-27T19:03:09Z" class="datetime">May 27, 2020</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/investment-company-institute-032620-17a" target="_blank">Investment Company Institute</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2020-03-26T15:45:27Z" class="datetime">March 26, 2020</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Affiliated Sales & Purchases - Adviser
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Affiliated Sales & Purchases - In-Kind
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Affiliated Sales & Purchases - Other
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Joint Transaction
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Mutual of America Capital Management LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-10-26T04:00:00Z" class="datetime">Oct. 26, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Russell Investment Management, LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-12-16T05:00:00Z" class="datetime">Dec. 16, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Guidance Regarding Acceptance of Gifts or Entertainment by Fund Advisory Personnel
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-02-23T05:00:00Z" class="datetime">Feb. 23, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Guidance Regarding Business Development Companies-Transactions with Certain Second-Tier Affiliates
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-12-05T05:00:00Z" class="datetime">Dec. 5, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Series Investment Companies:Â  Affiliated Transactions
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-06-06T04:00:00Z" class="datetime">June 6, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fifth Street Finance Corp.
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-02-25T05:00:00Z" class="datetime">Feb. 25, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Allianz Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-08-03T04:00:00Z" class="datetime">Aug. 3, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Columbia Funds Series Trust - Columbia Cash Reserves
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-03-02T05:00:00Z" class="datetime">March 2, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Columbia Funds Series Trust - Columbia Money Market Reserves
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-03-02T05:00:00Z" class="datetime">March 2, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Columbia Funds, et al.
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-12-23T05:00:00Z" class="datetime">Dec. 23, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Columbia Funds Series Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-10-22T04:00:00Z" class="datetime">Oct. 22, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Advantus Series Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-10-20T04:00:00Z" class="datetime">Oct. 20, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dreyfus Cash Management Plus
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-10-20T04:00:00Z" class="datetime">Oct. 20, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dreyfus Money Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-10-20T04:00:00Z" class="datetime">Oct. 20, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dreyfus Cash Management, et al.
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-09-25T04:00:00Z" class="datetime">Sept. 25, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Goldman Sachs Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-08-19T04:00:00Z" class="datetime">Aug. 19, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Allianz Dresdner Daily Asset Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-05-05T04:00:00Z" class="datetime">May 5, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>First American Funds, Inc. - Prime Obligation Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-12-03T05:00:00Z" class="datetime">Dec. 3, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Gartmore Variable Insurance Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-12-29T05:00:00Z" class="datetime">Dec. 29, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>GuideStone Financial, et al.
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-12-27T05:00:00Z" class="datetime">Dec. 27, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Federated Municipal Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-11-20T05:00:00Z" class="datetime">Nov. 20, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Citigroup Global Markets, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-09-26T04:00:00Z" class="datetime">Sept. 26, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Citigroup Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-07-26T04:00:00Z" class="datetime">July 26, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>GE Institutional Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2005-12-21T05:00:00Z" class="datetime">Dec. 21, 2005</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Evergreen Investment Management Company LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2005-10-11T04:00:00Z" class="datetime">Oct. 11, 2005</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>GE Life and Annuity Assurance Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-06-25T04:00:00Z" class="datetime">June 25, 2004</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/aalmutualfunds121202.htm" target="_blank">AAL Mutual Funds, et al. (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-12-12T05:00:00Z" class="datetime">Dec. 12, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/evergreen021302.htm" target="_blank">Evergreen Investment Management Company, LLC (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-02-13T05:00:00Z" class="datetime">Feb. 13, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>AIM Advisors, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-02-12T05:00:00Z" class="datetime">Feb. 12, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Government Securities Clearing Corporation
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-10-19T04:00:00Z" class="datetime">Oct. 19, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Calvert Social Index Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-09-24T04:00:00Z" class="datetime">Sept. 24, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>The Chase Manhattan Bank
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-07-24T04:00:00Z" class="datetime">July 24, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Massachusetts Mutual Life
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2000-07-28T04:00:00Z" class="datetime">July 28, 2000</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Massachusetts Mutual Life
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2000-06-07T04:00:00Z" class="datetime">June 7, 2000</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Drinker, Biddle & Reath
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-12-18T05:00:00Z" class="datetime">Dec. 18, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>The Eaton Vance Group of Investment Companies
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-07-25T04:00:00Z" class="datetime">July 25, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Alliance Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-04-25T04:00:00Z" class="datetime">April 25, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dean Witter World Wide Investment Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1996-09-17T04:00:00Z" class="datetime">Sept. 17, 1996</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dreyfus Asset Allocation Fund, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1996-06-14T04:00:00Z" class="datetime">June 14, 1996</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Financial Services Board
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1996-04-24T04:00:00Z" class="datetime">April 24, 1996</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>DFA Investment Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1996-03-21T05:00:00Z" class="datetime">March 21, 1996</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>DFA Investment Trust Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-10-17T04:00:00Z" class="datetime">Oct. 17, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ACM Institutional Reserves, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-07-14T04:00:00Z" class="datetime">July 14, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Alliance Municipal Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-07-14T04:00:00Z" class="datetime">July 14, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>California Municipal Cash Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-07-11T04:00:00Z" class="datetime">July 11, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Chief Financial Officer
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-11-01T05:00:00Z" class="datetime">Nov. 1, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Federated Investors
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-04-21T04:00:00Z" class="datetime">April 21, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>The Capitol Mutual Funds and Nations Fund Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-02-24T05:00:00Z" class="datetime">Feb. 24, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Defined Asset Funds - Equity Income Fund - Select Ten Series
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1993-05-05T04:00:00Z" class="datetime">May 5, 1993</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--5" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/1995/unitedmunicipal012795.pdf" target="_self">United Municipal No Action Letter </a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--5" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--5" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--5" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1992-07-30T19:22:34Z" class="datetime">July 30, 1992</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Anti-Money Laundering
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--6" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--6" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-01-11T05:00:00Z" class="datetime">Jan. 11, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>FINCEN Final Rule: Amendment to the Bank Secrecy Act Regulations; Defining Mutual Funds as Financial Institutions
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-04-14T04:00:00Z" class="datetime">April 14, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Joint Release; Guidance on Obtaining and Retaining Beneficial Ownership Information
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-03-05T05:00:00Z" class="datetime">March 5, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Anti-Money Laundering (AML) Source Tool for Broker-Dealers
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-01-14T05:00:00Z" class="datetime">Jan. 14, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Anti-Money Laundering (AML) Source Tool for Mutual Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-01-14T05:00:00Z" class="datetime">Jan. 14, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-01-11T05:00:00Z" class="datetime">Jan. 11, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association, extending February 12, 2004 letter
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-01-10T05:00:00Z" class="datetime">Jan. 10, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.fincen.gov/resources/statutes-regulations/guidance/requests-law-enforcement-financial-institutions-maintain" target="_blank">Financial Crimes Enforcement Network; Requests by Law Enforcement for Financial Institutions to Maintain Accounts, U.S. Treasury guidance</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-06-13T04:00:00Z" class="datetime">June 13, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.fincen.gov/resources/statutes-regulations/guidance/suspicious-activity-report-supporting-documentation" target="_blank">Financial Crimes Enforcement Network; Suspicious Activity Report Supporting Documentation</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-06-13T04:00:00Z" class="datetime">June 13, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>FinCEN Delays Implementation of Revised Suspicious Activity Report (SAR) Forms
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-04-26T04:00:00Z" class="datetime">April 26, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.fincen.gov/resources/statutes-regulations/guidance/frequently-asked-questions-suspicious-activity-reporting#:~:text=Frequently%20Asked%20Questions%20Suspicious%20Activity%20Reporting%20Requirements%20for,must%20a%20mutual%20fund%20make%20these%20records%20available%3F" target="_self">Frequently Asked Questions; Suspicious Activity Reporting Requirements for Mutual Funds</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-10-04T04:00:00Z" class="datetime">Oct. 4, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Trading and Markets No-Action Letter: Securities Industry Association, extending further February 12, 2004 letter
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-07-11T04:00:00Z" class="datetime">July 11, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.fincen.gov/resources/statutes-regulations/guidance/application-regulations-regarding-special-due-diligence" target="_self">Application of the Regulations regarding Special Due Diligence Programs for Certain Foreign Accounts to NSCC Fund/SERV Accounts</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-05-03T04:00:00Z" class="datetime">May 3, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.federalregister.gov/documents/2006/05/04/06-4177/financial-crimes-enforcement-network-amendment-to-the-bank-secrecy-act-regulations-requirement-that" target="_blank">Financial Crimes Enforcement Network; Amendment to the Bank Secrecy Act Regulations - Requirement That Mutual Funds Report Suspicious Transactions</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-04-27T04:00:00Z" class="datetime">April 27, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Question and Answer Regarding Broker-Dealer Customer Identification Rule (31 CFR 103.122) Responsibilities under the Agency Lending Disclosure Initiative
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-04-26T04:00:00Z" class="datetime">April 26, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Trading and Markets No-Action Letter: Securities Industry Association, extending February 12, 2004 letter
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2005-02-10T05:00:00Z" class="datetime">Feb. 10, 2005</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Trading and Markets No-Action Letter: Securities Industry Association
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-02-12T05:00:00Z" class="datetime">Feb. 12, 2004</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Question and Answer Regarding the Broker-Dealer Customer Identification Program Rule
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-10-01T04:00:00Z" class="datetime">Oct. 1, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Questions and Answers Regarding the Mutual Fund Customer Identification Program Rule
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-08-11T04:00:00Z" class="datetime">Aug. 11, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Questions and Answers Regarding the Mutual Fund Customer Identification Program Rule
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-08-11T04:00:00Z" class="datetime">Aug. 11, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Customer Identification Programs for Mutual Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-04-29T04:00:00Z" class="datetime">April 29, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Report to Congress under the USA PATRIOT Act containing recommendations for applying anti-money laundering controls to investment companies
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-12-31T05:00:00Z" class="datetime">Dec. 31, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>SEC-SIA Anti-Money Laundering Webcast Scheduled for Monday, November 25, 2002
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-10-18T04:00:00Z" class="datetime">Oct. 18, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.federalregister.gov/documents/2002/10/17/02-26365/financial-crimes-enforcement-network-amendment-to-the-bank-secrecy-act-regulations-requirement-that" target="_blank">Proposed Amendment to the Bank Secrecy Act Rules â€” Requirement That Insurance Companies Report Suspicious Transactions</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-10-17T04:00:00Z" class="datetime">Oct. 17, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.fincen.gov/sites/default/files/shared/352unreginvest.pdf" target="_blank">Proposed Amendment to the Bank Secrecy Act Rules â€” Anti-Money Laundering Programs for Unregistered Investment Companies</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-09-26T04:00:00Z" class="datetime">Sept. 26, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Proposed Amendment to the Bank Secrecy Act Rules â€” Customer Identification Programs for Broker-Dealers
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-07-23T04:00:00Z" class="datetime">July 23, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Proposed Amendment to the Bank Secrecy Act Rules â€” Customer Identification Programs for Mutual Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-07-23T04:00:00Z" class="datetime">July 23, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Amendment to the Bank Secrecy Act Rules â€” Requirement that Brokers or Dealers in Securities Report Suspicious Transactions
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-07-01T04:00:00Z" class="datetime">July 1, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.fincen.gov/fact-sheet-section-312-usa-patriot-act-final-regulation-and-notice-proposed-rulemaking" target="_blank">Proposed Rule â€” Due Diligence Anti-Money Laundering Programs for Certain Foreign Accounts Implementing Section 312 of the USA PATRIOT ACT</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-05-30T04:00:00Z" class="datetime">May 30, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Anti-Money Laundering Programs for Mutual Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-04-24T04:00:00Z" class="datetime">April 24, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Order Approving Proposed Rule Changes Relating to Anti-Money Laundering Compliance Programs
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-04-22T04:00:00Z" class="datetime">April 22, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--6" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.sec.gov/about/offices/ocie/aml2007/66fr67670-77.pdf" target="_blank">Proposed Amendment to the Bank Secrecy Act â€” Requirement of Brokers or Dealers in Securities to Report Suspicious Transactions</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--6" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--6" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--6" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-12-21T05:00:00Z" class="datetime">Dec. 21, 2001</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Asset-Backed Securities Issuers
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--7" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--7" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--7" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--7" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--7" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.sec.gov/investment/ici-sifma-052720" target="_blank">Investment Company Institute and SIFMA AMG</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--7" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--7" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--7" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2020-05-27T18:58:01Z" class="datetime">May 27, 2020</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--7" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Treatment of Asset-Backed Issuers under the Investment Company Act
          </td>
                                                              <td headers="view-field-subtopic-table-column--7" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--7" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--7" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-08-31T04:00:00Z" class="datetime">Aug. 31, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--7" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Franklin Templeton Investments
          </td>
                                                              <td headers="view-field-subtopic-table-column--7" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--7" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--7" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-06-19T04:00:00Z" class="datetime">June 19, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--7" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Citibank, N.A.
          </td>
                                                              <td headers="view-field-subtopic-table-column--7" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--7" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--7" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-04-20T08:00:00Z" class="datetime">April 20, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--7" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Deutsche Bank Trust Company Americas
          </td>
                                                              <td headers="view-field-subtopic-table-column--7" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--7" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--7" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-12-28T07:00:00Z" class="datetime">Dec. 28, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--7" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Credit Suisse First Boston
          </td>
                                                              <td headers="view-field-subtopic-table-column--7" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--7" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--7" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-09-09T04:00:00Z" class="datetime">Sept. 9, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--7" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Nebraska Higher Education Loan Program Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--7" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--7" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--7" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-04-04T05:00:00Z" class="datetime">April 4, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--7" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Federated Investors
          </td>
                                                              <td headers="view-field-subtopic-table-column--7" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--7" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--7" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-07-08T04:00:00Z" class="datetime">July 8, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--7" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ESI S.A.
          </td>
                                                              <td headers="view-field-subtopic-table-column--7" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--7" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--7" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-02-02T05:00:00Z" class="datetime">Feb. 2, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--7" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Global Exempt Certificates of Ownership in NHA MBS Securities Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--7" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--7" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--7" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-12-30T05:00:00Z" class="datetime">Dec. 30, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--7" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Donaldson, Lufkin & Jenrette Securities Corporation
          </td>
                                                              <td headers="view-field-subtopic-table-column--7" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--7" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--7" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-05-26T04:00:00Z" class="datetime">May 26, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--7" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Brown & Wood
          </td>
                                                              <td headers="view-field-subtopic-table-column--7" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--7" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--7" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-02-24T05:00:00Z" class="datetime">Feb. 24, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--7" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Exclusion From the Definition of Investment Company for Certain Structured Financings
          </td>
                                                              <td headers="view-field-subtopic-table-column--7" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--7" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--7" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1992-11-19T05:00:00Z" class="datetime">Nov. 19, 1992</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--7" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Exclusion From the Definition of Investment Company for Certain Structured Financings
          </td>
                                                              <td headers="view-field-subtopic-table-column--7" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--7" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--7" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1992-05-29T04:00:00Z" class="datetime">May 29, 1992</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--7" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Protecting Investors: A Half Century of Investment CompanyÂ  Regulation
          </td>
                                                              <td headers="view-field-subtopic-table-column--7" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--7" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--7" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1992-05-01T08:00:00Z" class="datetime">May 1, 1992</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Business Development Companies
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--8" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--8" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--8" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--8" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--8" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/staff-responses-regarding-business-development-companies" target="_self">Staff Responses to Inquiries Regarding Business Development Companies and Section 61(a) of the Investment Company Act of 1940</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--8" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--8" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--8" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-10-17T19:25:51Z" class="datetime">Oct. 17, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--8" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Business Development Companies - Capital Structure
          </td>
                                                              <td headers="view-field-subtopic-table-column--8" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--8" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--8" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--8" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Business Development Companies - Compensation
          </td>
                                                              <td headers="view-field-subtopic-table-column--8" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--8" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--8" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--8" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Co-Investment
          </td>
                                                              <td headers="view-field-subtopic-table-column--8" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--8" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--8" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--8" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>New Mountain Finance Corporation
          </td>
                                                              <td headers="view-field-subtopic-table-column--8" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--8" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--8" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-12-18T05:00:00Z" class="datetime">Dec. 18, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--8" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Guidance Regarding Business Development Companies-Transactions with Certain Second-Tier Affiliates
          </td>
                                                              <td headers="view-field-subtopic-table-column--8" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--8" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--8" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-12-05T05:00:00Z" class="datetime">Dec. 5, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--8" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Business Development Companies with Wholly-Owned SBIC Subsidiaries-Asset Coverage Requirements
          </td>
                                                              <td headers="view-field-subtopic-table-column--8" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--8" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--8" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-06-27T04:00:00Z" class="datetime">June 27, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--8" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Main Street Capital Corporation
          </td>
                                                              <td headers="view-field-subtopic-table-column--8" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--8" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--8" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-11-07T05:00:00Z" class="datetime">Nov. 7, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--8" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>New Mountain Finance Corporation
          </td>
                                                              <td headers="view-field-subtopic-table-column--8" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--8" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--8" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-11-04T05:00:00Z" class="datetime">Nov. 4, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--8" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>MCG Capital Corporation
          </td>
                                                              <td headers="view-field-subtopic-table-column--8" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--8" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--8" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-09-27T04:00:00Z" class="datetime">Sept. 27, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--8" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Joint Transactions â€” Portfolio Holdings of Companies Electing Status as Business Development Companies (BDCs)
          </td>
                                                              <td headers="view-field-subtopic-table-column--8" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--8" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--8" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-11-27T05:00:00Z" class="datetime">Nov. 27, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--8" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Business Development Company Report Dataset
          </td>
                                                              <td headers="view-field-subtopic-table-column--8" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--8" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--8" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-10-23T04:00:00Z" class="datetime">Oct. 23, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--8" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Business Development Companies â€” Auditor Verification of Securities Owned
          </td>
                                                              <td headers="view-field-subtopic-table-column--8" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--8" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--8" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-03-12T04:00:00Z" class="datetime">March 12, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--8" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Definition of Eligible Portfolio Company under the Investment Company Act of 1940
          </td>
                                                              <td headers="view-field-subtopic-table-column--8" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--8" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--8" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-10-25T04:00:00Z" class="datetime">Oct. 25, 2006</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

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<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Closed-End Funds
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--9" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--9" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/blackrock-fund-trusts-030320" target="_blank">BlackRock Science and Technology Trust and BlackRock Utilities, Infrastructure & Power Opportunities Trust, March 3, 2020 (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2020-03-03T19:09:28Z" class="datetime">March 3, 2020</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/eaton-vance-tax-advantaged-dividend-income-fund-121619-5b" target="_blank">Eaton Vance Tax-Advantaged Dividend Income Fund, et al., December 16, 2019 (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-12-16T19:50:24Z" class="datetime">Dec. 16, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/gladstone-investment-corporation-120519-23c" target="_blank">Gladstone Investment Corporation</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-12-05T15:13:22Z" class="datetime">Dec. 5, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Co-Investment
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2018/eagle-point-credit-company-021418-486b.htm" target="_blank">Eagle Point Credit Company Inc. (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2018-02-14T05:00:00Z" class="datetime">Feb. 14, 2018</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2017/pimco-dynamic-income-fund-121217-486b.htm" target="_blank">PIMCO Dynamic Income Fund (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-12-12T05:00:00Z" class="datetime">Dec. 12, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2017/nuveen-california-select-tax-free-112117-486b.htm" target="_blank">Nuveen California Select Tax-Free Income Portfolio (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-11-21T05:00:00Z" class="datetime">Nov. 21, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2017/nuveen-municipal-income-fund-072717-486b.htm" target="_blank">Nuveen Municipal Income Fund, Inc. et al. (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-07-27T04:00:00Z" class="datetime">July 27, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Ironwood Multi-Strategy Fund LLC and Ironwood Institutional Multi-Strategy Fund LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-04-19T04:00:00Z" class="datetime">April 19, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2017/guggenheim-credit-allocation-040517-486b.htm" target="_blank">Guggenheim Credit Allocation Fund (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-04-05T04:00:00Z" class="datetime">April 5, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2017/invesco-senior-income-trust-012617-486b.htm" target="_blank">Invesco Senior Income Trust, et al. (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-01-25T05:00:00Z" class="datetime">Jan. 25, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2016/herzfeld-caribbean-basin-092116-486b.html" target="_blank">The Herzfeld Caribbean Basin Fund, Inc. (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-09-21T04:00:00Z" class="datetime">Sept. 21, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2016/blackrock-health-sciences-trust-022416-486b.htm" target="_blank">BlackRock Health Sciences Trust (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-02-25T05:00:00Z" class="datetime">Feb. 25, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2016/fiduciary-claymore-mlp-010716-486b.htm" target="_blank">Fiduciary/Claymore MLP Opportunity Fund (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-01-07T05:00:00Z" class="datetime">Jan. 7, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2014/nuveen-110714.htm" target="_blank">Nuveen Credit Strategies Income Fund, et al. (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-11-07T05:00:00Z" class="datetime">Nov. 7, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2014/guggenheim-100214-486b.htm" target="_blank">Guggenheim Strategic Opportunities Fund (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-10-02T04:00:00Z" class="datetime">Oct. 2, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2014/gabelliletter-041814.htm" target="_blank">The Gabelli Convertible & Income Securities Fund, Inc., et al. (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-04-18T04:00:00Z" class="datetime">April 18, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2013/mexicofundletter-123113.htm" target="_blank">The Mexico Fund, Inc. (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-12-31T05:00:00Z" class="datetime">Dec. 31, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2013/aberdeen-asia-062613-486b.pdf" target="_blank">Aberdeen Asia-Pacific Income Fund, Inc. (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-06-26T04:00:00Z" class="datetime">June 26, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2013/credit-suisse-062613-486b.pdf" target="_blank">Credit Suisse High Yield Bond Fund and Credit Suisse Asset Management Income Fund, Inc. (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-06-26T04:00:00Z" class="datetime">June 26, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2013/eaton-vance-062613-486b.pdf" target="_blank">Eaton Vance, et al. (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-06-26T04:00:00Z" class="datetime">June 26, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2013/first-trust-062613-486b.pdf" target="_blank">First Trust, et al. (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-06-26T04:00:00Z" class="datetime">June 26, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2013/john-hancock-062613-486b.pdf" target="_blank">John Hancock Investors Trust and John Hancock Tax-Advantaged Global Shareholder Yield Fund (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-06-26T04:00:00Z" class="datetime">June 26, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2013/nexpoint-062613-486b.pdf" target="_blank">NexPoint Credit Strategies Fund (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-06-26T04:00:00Z" class="datetime">June 26, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2013/nuveen-062613-486b.pdf" target="_blank">Nuveen, et al (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-06-26T04:00:00Z" class="datetime">June 26, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Closed-End Fund Information Dataset
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-10-23T04:00:00Z" class="datetime">Oct. 23, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2012/aberdeen041212.htm" target="_blank">Aberdeen Australia Equity Fund, Inc., Aberdeen Chile Fund, Inc. and Aberdeen Global Income Fund, Inc. (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-04-12T04:00:00Z" class="datetime">April 12, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2011/fqftrust121311-12d1.htm" target="_blank">FQF Trust, et al. (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-12-13T05:00:00Z" class="datetime">Dec. 13, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Franklin Templeton Investments
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-06-19T04:00:00Z" class="datetime">June 19, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Aberdeen Australia Equity Fund, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-07-13T04:00:00Z" class="datetime">July 13, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>College and University Facility Loan Trust One, et al.
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-11-29T05:00:00Z" class="datetime">Nov. 29, 2004</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>France Growth Fund, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-07-15T04:00:00Z" class="datetime">July 15, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/frankrussell101802.htm" target="_blank">Frank Russell Investment Company, et al. (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-10-18T04:00:00Z" class="datetime">Oct. 18, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--9" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dessauer Global Equity Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--9" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--9" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--9" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-04-03T05:00:00Z" class="datetime">April 3, 1997</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

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<table class="list">
      <h1 class="grouped">
          Code of Ethics
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--10" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--10" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--10" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--10" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--10" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Code of Ethics Guidance for Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--10" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--10" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--10" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-06-26T04:00:00Z" class="datetime">June 26, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--10" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Regulation of Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--10" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--10" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--10" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-03-01T05:00:00Z" class="datetime">March 1, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--10" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Adviser Codes of Ethics
          </td>
                                                              <td headers="view-field-subtopic-table-column--10" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--10" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--10" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-07-02T04:00:00Z" class="datetime">July 2, 2004</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

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<table class="list">
      <h1 class="grouped">
          Commodities
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--11" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--11" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--11" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--11" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--11" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Money Market Fund Reform
          </td>
                                                              <td headers="view-field-subtopic-table-column--11" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--11" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--11" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-02-23T05:00:00Z" class="datetime">Feb. 23, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--11" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities
          </td>
                                                              <td headers="view-field-subtopic-table-column--11" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--11" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--11" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-07-05T04:00:00Z" class="datetime">July 5, 2001</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

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<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Compliance - Investment Companies
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--12" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--12" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Nuveen Fund Advisors, LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-06-20T04:00:00Z" class="datetime">June 20, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Business Continuity Planning for Registered Investment Companies
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-06-28T04:00:00Z" class="datetime">June 28, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Cybersecurity Guidance
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-04-28T04:00:00Z" class="datetime">April 28, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Series Investment Companies:Â  Affiliated Transactions
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-06-06T04:00:00Z" class="datetime">June 6, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Shareholder Notices of the Sources of Fund Distributions - Electronic Delivery
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-11-07T05:00:00Z" class="datetime">Nov. 7, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Compliance With Exemptive Orders
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-05-10T04:00:00Z" class="datetime">May 10, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Affiliated Funds of Funds â€” Section 12(d)(1) of the Investment Company Act
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-10-19T04:00:00Z" class="datetime">Oct. 19, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Advisory Contracts â€” Combined Investment Advisory and Service Fees
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-10-05T04:00:00Z" class="datetime">Oct. 5, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Company Series and Class Information Dataset
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-07-20T04:00:00Z" class="datetime">July 20, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Funds Using Tender Option Bond (TOB) Financings
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-03-29T04:00:00Z" class="datetime">March 29, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Rule 18f-3 under the Investment Company Act â€” Removal of a Class
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-09-02T04:00:00Z" class="datetime">Sept. 2, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Derivatives-Related Disclosures by Investment Companies, Letter to ICI
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-07-30T04:00:00Z" class="datetime">July 30, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Claymore Advisors, LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-04-27T04:00:00Z" class="datetime">April 27, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Proxy Disclosure Enhancements Transition for Registered Investment Companies
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-12-23T05:00:00Z" class="datetime">Dec. 23, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Registered Investment Company Use of Senior Securities â€” Select Bibliography
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-09-24T04:00:00Z" class="datetime">Sept. 24, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Cabot Wellington, LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-06-17T04:00:00Z" class="datetime">June 17, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Funds Use of Rule 22c-2 Information for Marketing Purposes, Letter to ICI
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-08-21T04:00:00Z" class="datetime">Aug. 21, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Cooley Godward & Kronish
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-07-12T04:00:00Z" class="datetime">July 12, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Staff Responses to Questions Regarding Disclosure of Fund of Funds Expenses
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-05-23T04:00:00Z" class="datetime">May 23, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>College and University Facility Loan Trust One, et al.
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-11-29T05:00:00Z" class="datetime">Nov. 29, 2004</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Cantor Fitzgerald & Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-02-17T05:00:00Z" class="datetime">Feb. 17, 2004</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Compliance Programs of Investment Companies and Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-12-17T05:00:00Z" class="datetime">Dec. 17, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Disclosure by Funds Investing in Government Sponsored Enterprises, Letter to ICI
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-10-17T04:00:00Z" class="datetime">Oct. 17, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Questions and Answers Regarding the Mutual Fund Customer Identification Program Rule
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-08-11T04:00:00Z" class="datetime">Aug. 11, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Delayed Exchange of Fund Shares, Letter to ICI
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-11-13T05:00:00Z" class="datetime">Nov. 13, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Frequently Asked Questions About Mutual Fund After-Tax Return Requirements
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-01-14T05:00:00Z" class="datetime">Jan. 14, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Frequently Asked Questions about Rule 35d-1 (Investment Company Names)
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-12-04T05:00:00Z" class="datetime">Dec. 4, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Calvert Social Index Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-09-24T04:00:00Z" class="datetime">Sept. 24, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.sec.gov/news/extra/mfeefaq.htm" target="_self">2001 Mutual Fund Fee Report</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-01-10T15:23:54Z" class="datetime">Jan. 10, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>2001 Mutual Fund Fee Report
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-01-10T05:00:00Z" class="datetime">Jan. 10, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Role of Independent Investment Company Directors
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1999-02-24T07:00:00Z" class="datetime">Feb. 24, 1999</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Form N-1A and Rule 498, Letter to the ICI
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-10-02T04:00:00Z" class="datetime">Oct. 2, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Form N-1A and Rule 498, Letter to ICI
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-05-19T04:00:00Z" class="datetime">May 19, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>GE Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-02-07T05:00:00Z" class="datetime">Feb. 7, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Cornish & Carey Commercial Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1996-02-26T05:00:00Z" class="datetime">Feb. 26, 1996</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Caxton Corporation
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-12-28T05:00:00Z" class="datetime">Dec. 28, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--12" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Protecting Investors: A Half Century of Investment Company Regulation
          </td>
                                                              <td headers="view-field-subtopic-table-column--12" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--12" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--12" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1992-05-01T04:00:00Z" class="datetime">May 1, 1992</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Credit Ratings
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--13" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--13" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--13" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--13" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--13" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
          </td>
                                                              <td headers="view-field-subtopic-table-column--13" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--13" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--13" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-07-23T04:00:00Z" class="datetime">July 23, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--13" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>References to Ratings of Nationally Recognized Statistical Rating Organizations
          </td>
                                                              <td headers="view-field-subtopic-table-column--13" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--13" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--13" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-10-05T04:00:00Z" class="datetime">Oct. 5, 2009</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Custody - Investment Adviser
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--14" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--14" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--14" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--14" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--14" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/news/public-statement/statement-im-finhub-wyoming-nal-custody-digital-assets" target="_blank">Staff Statement on WY Division of Banking’s “NAL on Custody of Digital Assets and Qualified Custodian Status”</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--14" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--14" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--14" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2020-11-09T22:30:42Z" class="datetime">Nov. 9, 2020</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--14" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/grover-seward-kissel-121119-rule206" target="_blank">Robert Van Grover Esq., Seward & Kissel LLP</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--14" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--14" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--14" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-12-11T18:27:36Z" class="datetime">Dec. 11, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--14" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/non-dvp-and-custody-digital-assets-031219-206" target="_blank">Engaging on Non-DVP Custodial Practices and Digital Assets</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--14" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--14" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--14" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-03-12T15:12:43Z" class="datetime">March 12, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--14" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Inadvertent Custody: Advisory Contract Versus Custodial Contract Authority
          </td>
                                                              <td headers="view-field-subtopic-table-column--14" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--14" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--14" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-02-21T05:00:00Z" class="datetime">Feb. 21, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--14" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Adviser Association
          </td>
                                                              <td headers="view-field-subtopic-table-column--14" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--14" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--14" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-02-21T05:00:00Z" class="datetime">Feb. 21, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--14" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Robert Van Grover, Esq., Seward & Kissel LLP
          </td>
                                                              <td headers="view-field-subtopic-table-column--14" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--14" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--14" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-10-04T04:00:00Z" class="datetime">Oct. 4, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--14" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Adviser Association
          </td>
                                                              <td headers="view-field-subtopic-table-column--14" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--14" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--14" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-04-25T04:00:00Z" class="datetime">April 25, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--14" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>16th Amendment Advisors LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--14" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--14" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--14" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-03-23T04:00:00Z" class="datetime">March 23, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--14" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Private Funds and the Application of the Custody Rule to Special Purpose Vehicles and Escrows
          </td>
                                                              <td headers="view-field-subtopic-table-column--14" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--14" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--14" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-06-26T04:00:00Z" class="datetime">June 26, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--14" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Robert Van Grover, Esq., Seward & Kissel LLP
          </td>
                                                              <td headers="view-field-subtopic-table-column--14" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--14" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--14" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-11-05T05:00:00Z" class="datetime">Nov. 5, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--14" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Privately Offered Securities under the Investment Advisers Act Custody Rule
          </td>
                                                              <td headers="view-field-subtopic-table-column--14" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--14" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--14" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-08-01T04:00:00Z" class="datetime">Aug. 1, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--14" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Regulation of Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--14" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--14" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--14" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-03-01T05:00:00Z" class="datetime">March 1, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--14" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Staff Responses to Questions About the Custody Rule
          </td>
                                                              <td headers="view-field-subtopic-table-column--14" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--14" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--14" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-12-13T05:00:00Z" class="datetime">Dec. 13, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--14" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Custody of Funds or Securities of Clients by Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--14" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--14" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--14" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-12-30T05:00:00Z" class="datetime">Dec. 30, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--14" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Deloitte & Touche LLP
          </td>
                                                              <td headers="view-field-subtopic-table-column--14" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--14" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--14" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-08-28T04:00:00Z" class="datetime">Aug. 28, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--14" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ABA Subcommittee on Private Investment Entities
          </td>
                                                              <td headers="view-field-subtopic-table-column--14" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--14" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--14" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-08-10T04:00:00Z" class="datetime">Aug. 10, 2006</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Custody - Investment Company
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--15" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--15" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/klgates-011321-rule17f" target="_blank">K&L Gates LLP</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2021-01-15T21:49:49Z" class="datetime">Jan. 15, 2021</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Chicago Mercantile Exchange
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-12-19T05:00:00Z" class="datetime">Dec. 19, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ICE Clear Credit LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-12-19T05:00:00Z" class="datetime">Dec. 19, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>LCH Limited and LCH.Clearnet LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-12-19T05:00:00Z" class="datetime">Dec. 19, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Depository Trust Company of Delaware, LLC dba Delaware Depository
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-09-12T04:00:00Z" class="datetime">Sept. 12, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Chicago Mercantile Exchange
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-12-29T05:00:00Z" class="datetime">Dec. 29, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ICE Clear Credit LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-12-29T05:00:00Z" class="datetime">Dec. 29, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>LCH.Clearnet Limited and LCH.Clearnet LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-12-29T05:00:00Z" class="datetime">Dec. 29, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Chicago Mercantile Exchange
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-12-19T05:00:00Z" class="datetime">Dec. 19, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ICE Clear Credit LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-12-19T05:00:00Z" class="datetime">Dec. 19, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>LCH.Clearnet Limited and LCH.Clearnet LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-12-19T05:00:00Z" class="datetime">Dec. 19, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>The Brink's Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-02-11T05:00:00Z" class="datetime">Feb. 11, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Chicago Mercantile Exchange
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-12-26T05:00:00Z" class="datetime">Dec. 26, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ICE Clear Credit LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-12-26T05:00:00Z" class="datetime">Dec. 26, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>LCH.Clearnet Limited and LCH.Clearnet LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-12-26T05:00:00Z" class="datetime">Dec. 26, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Chicago Mercantile Exchange
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-09-27T04:00:00Z" class="datetime">Sept. 27, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Chicago Mercantile Exchange
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-09-27T04:00:00Z" class="datetime">Sept. 27, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Staff Responses to Questions About the Custody Rule
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-12-13T05:00:00Z" class="datetime">Dec. 13, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Chicago Mercantile Exchange
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-07-29T04:00:00Z" class="datetime">July 29, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Chicago Mercantile Exchange
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-07-29T04:00:00Z" class="datetime">July 29, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Chicago Mercantile Exchange
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-03-24T04:00:00Z" class="datetime">March 24, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>CME Group, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-12-03T05:00:00Z" class="datetime">Dec. 3, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>CME Group, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-07-16T04:00:00Z" class="datetime">July 16, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Franklin Templeton Investments
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-06-19T04:00:00Z" class="datetime">June 19, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Franklin Templeton Investments
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-11-21T05:00:00Z" class="datetime">Nov. 21, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fixed Income Clearing Corporation
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-03-13T05:00:00Z" class="datetime">March 13, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Custody of Investment Company Assets Outside the United States
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2000-04-27T04:00:00Z" class="datetime">April 27, 2000</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Chase Manhattan Bank
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-06-12T04:00:00Z" class="datetime">June 12, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Depository Clearing Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-12-19T05:00:00Z" class="datetime">Dec. 19, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Bucharest Stock Exchange
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-06-03T04:00:00Z" class="datetime">June 3, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Eaton Vance South Asia Portfolio
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-03-12T05:00:00Z" class="datetime">March 12, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Financial Services Board
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1996-04-24T04:00:00Z" class="datetime">April 24, 1996</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>The Canadian Depository for Securities Limited
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-08-04T04:00:00Z" class="datetime">Aug. 4, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>David S. Butterworth
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-01-27T05:00:00Z" class="datetime">Jan. 27, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Custody of B Shares Trading on the Shenzhen and Shanghai Securities Exchanges
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1993-04-26T04:00:00Z" class="datetime">April 26, 1993</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/files/delta-govt-options-corp-19900927.pdf" target="_blank">Delta Government Options Corp., Sept. 27, 1990</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1990-09-27T15:51:52Z" class="datetime">Sept. 27, 1990</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--15" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/files/delta-govt-options-corp-19890721.pdf" target="_blank">Delta Government Options Corp., July 21, 1989</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--15" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--15" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--15" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1989-07-21T15:43:37Z" class="datetime">July 21, 1989</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Cybersecurity
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--16" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--16" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--16" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--16" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--16" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Cybersecurity Guidance
          </td>
                                                              <td headers="view-field-subtopic-table-column--16" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--16" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--16" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-04-28T04:00:00Z" class="datetime">April 28, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--16" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Cybersecurity Roundtable
          </td>
                                                              <td headers="view-field-subtopic-table-column--16" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--16" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--16" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-03-26T04:00:00Z" class="datetime">March 26, 2014</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Derivatives
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--17" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--17" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--17" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--17" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--17" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Derivatives-Related Disclosures by Investment Companies, Letter to ICI
          </td>
                                                              <td headers="view-field-subtopic-table-column--17" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--17" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--17" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-07-30T04:00:00Z" class="datetime">July 30, 2010</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Distribution and Servicing Arrangements
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--18" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--18" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--18" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--18" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--18" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Frequently Asked Questions on IM Guidance Update 2016-06 (Mutual Fund Fee Structures)
          </td>
                                                              <td headers="view-field-subtopic-table-column--18" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--18" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--18" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-02-15T07:00:00Z" class="datetime">Feb. 15, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--18" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Capital Group
          </td>
                                                              <td headers="view-field-subtopic-table-column--18" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--18" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--18" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-01-11T05:00:00Z" class="datetime">Jan. 11, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--18" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Mutual Fund Distribution and Sub-Accounting Fees
          </td>
                                                              <td headers="view-field-subtopic-table-column--18" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--18" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--18" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-01-06T05:00:00Z" class="datetime">Jan. 6, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--18" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Rule 12b-1 Roundtable
          </td>
                                                              <td headers="view-field-subtopic-table-column--18" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--18" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--18" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-06-19T04:00:00Z" class="datetime">June 19, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--18" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Linsco/Private Ledger Corp.
          </td>
                                                              <td headers="view-field-subtopic-table-column--18" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--18" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--18" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-11-01T05:00:00Z" class="datetime">Nov. 1, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--18" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Charles Schwab & Co.
          </td>
                                                              <td headers="view-field-subtopic-table-column--18" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--18" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--18" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1992-05-28T04:00:00Z" class="datetime">May 28, 1992</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--18" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Management Division Report - Mutual Fund Distribution and Section 22(d) of the Investment Company Act (August 1974)
          </td>
                                                              <td headers="view-field-subtopic-table-column--18" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--18" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--18" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1974-11-04T07:00:00Z" class="datetime">Nov. 4, 1974</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Emergencies
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--19" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--19" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--19" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--19" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--19" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/covid-19-response-faq" target="_blank">Division of Investment Management Coronavirus (COVID-19) Response FAQs</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--19" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--19" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--19" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2020-04-14T15:28:57Z" class="datetime">April 14, 2020</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--19" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Apply for GETS Cards
          </td>
                                                              <td headers="view-field-subtopic-table-column--19" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--19" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--19" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--19" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Alliance Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--19" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--19" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--19" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-04-25T04:00:00Z" class="datetime">April 25, 1997</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
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<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Employee Benefit Plans/ERISA
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--20" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--20" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--20" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--20" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--20" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Company Institute, et al.
          </td>
                                                              <td headers="view-field-subtopic-table-column--20" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--20" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--20" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-11-16T05:00:00Z" class="datetime">Nov. 16, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--20" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>American Retirement Association
          </td>
                                                              <td headers="view-field-subtopic-table-column--20" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--20" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--20" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-02-18T05:00:00Z" class="datetime">Feb. 18, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--20" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Invesco Advisers, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--20" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--20" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--20" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-04-08T04:00:00Z" class="datetime">April 8, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--20" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ABA Retirement Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--20" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--20" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--20" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-11-25T05:00:00Z" class="datetime">Nov. 25, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--20" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Department of Labor
          </td>
                                                              <td headers="view-field-subtopic-table-column--20" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--20" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--20" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-10-26T04:00:00Z" class="datetime">Oct. 26, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--20" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>General Motors Investment Management
          </td>
                                                              <td headers="view-field-subtopic-table-column--20" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--20" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--20" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2000-02-20T05:00:00Z" class="datetime">Feb. 20, 2000</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--20" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Department of Labor
          </td>
                                                              <td headers="view-field-subtopic-table-column--20" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--20" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--20" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-12-05T05:00:00Z" class="datetime">Dec. 5, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--20" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Edward H. Fleischman
          </td>
                                                              <td headers="view-field-subtopic-table-column--20" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--20" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--20" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-06-30T04:00:00Z" class="datetime">June 30, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--20" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>County of Los Angeles
          </td>
                                                              <td headers="view-field-subtopic-table-column--20" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--20" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--20" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1993-01-27T05:00:00Z" class="datetime">Jan. 27, 1993</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
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<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Employee Securities Companies
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--21" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--21" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--21" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--21" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--21" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-subtopic-table-column--21" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--21" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--21" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--21" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Employees' Securities Companies and Escheatment
          </td>
                                                              <td headers="view-field-subtopic-table-column--21" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--21" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--21" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-10-27T04:00:00Z" class="datetime">Oct. 27, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--21" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Tudor Employee Investment Fund LLC and Tudor Investment Corporation
          </td>
                                                              <td headers="view-field-subtopic-table-column--21" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--21" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--21" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-04-28T04:00:00Z" class="datetime">April 28, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--21" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>BSC Employee Fund, L.P.
          </td>
                                                              <td headers="view-field-subtopic-table-column--21" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--21" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--21" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-10-14T04:00:00Z" class="datetime">Oct. 14, 1997</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
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<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Exchange Traded Funds (ETFs)
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--22" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--22" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--22" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--22" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--22" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/news/statement/im-staff-statement-foreign-currency-holdings-011924" target="_self">Disclosure of Foreign Currency Under Rule 6c-11</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--22" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--22" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--22" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2024-01-19T16:43:44Z" class="datetime">Jan. 19, 2024</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--22" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Exchange Traded Funds - Active
          </td>
                                                              <td headers="view-field-subtopic-table-column--22" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--22" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--22" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--22" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Exchange Traded Funds - Index
          </td>
                                                              <td headers="view-field-subtopic-table-column--22" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--22" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--22" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--22" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Exchange Traded Funds - Leveraged
          </td>
                                                              <td headers="view-field-subtopic-table-column--22" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--22" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--22" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--22" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Company Liquidity Risk Management Programs Frequently Asked Questions
          </td>
                                                              <td headers="view-field-subtopic-table-column--22" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--22" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--22" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2018-01-10T05:00:00Z" class="datetime">Jan. 10, 2018</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--22" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>SPDR S&P Dividend ETF
          </td>
                                                              <td headers="view-field-subtopic-table-column--22" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--22" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--22" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-03-28T04:00:00Z" class="datetime">March 28, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--22" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>SPDR Series Trust, et al.
          </td>
                                                              <td headers="view-field-subtopic-table-column--22" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--22" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--22" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-06-24T04:00:00Z" class="datetime">June 24, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--22" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Merger of Two Exchange-Traded Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--22" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--22" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--22" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-09-25T04:00:00Z" class="datetime">Sept. 25, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--22" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Derivatives Use by Actively-Managed ETFs
          </td>
                                                              <td headers="view-field-subtopic-table-column--22" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--22" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--22" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-12-06T05:00:00Z" class="datetime">Dec. 6, 2012</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

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<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Family Offices
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--23" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--23" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--23" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--23" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--23" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Guidance Regarding Key Employee Trusts Under the Family Office Rule
          </td>
                                                              <td headers="view-field-subtopic-table-column--23" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--23" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--23" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-12-22T05:00:00Z" class="datetime">Dec. 22, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--23" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Staff Responses to Questions About the Family Office Rule
          </td>
                                                              <td headers="view-field-subtopic-table-column--23" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--23" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--23" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-04-27T04:00:00Z" class="datetime">April 27, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--23" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Peter Adamson III
          </td>
                                                              <td headers="view-field-subtopic-table-column--23" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--23" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--23" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-04-03T04:00:00Z" class="datetime">April 3, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--23" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Family Offices
          </td>
                                                              <td headers="view-field-subtopic-table-column--23" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--23" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--23" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-06-22T04:00:00Z" class="datetime">June 22, 2011</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
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<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Form 13F
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--24" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--24" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--24" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--24" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--24" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Official List of Section 13(f) Securities
          </td>
                                                              <td headers="view-field-subtopic-table-column--24" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--24" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--24" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--24" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Information required of institutional investment managers pursuant to Section 13(f)
          </td>
                                                              <td headers="view-field-subtopic-table-column--24" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--24" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--24" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--24" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Frequently Asked Questions About Form 13F
          </td>
                                                              <td headers="view-field-subtopic-table-column--24" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--24" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--24" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-03-15T08:00:00Z" class="datetime">March 15, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--24" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Guidance Update: Form 13F Confidential Treatment Requests Based on a Claim of Ongoing Acquisition/Disposition Program
          </td>
                                                              <td headers="view-field-subtopic-table-column--24" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--24" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--24" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-10-01T08:00:00Z" class="datetime">Oct. 1, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--24" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Regulation of Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--24" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--24" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--24" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-03-01T05:00:00Z" class="datetime">March 1, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--24" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Rulemaking for EDGAR System
          </td>
                                                              <td headers="view-field-subtopic-table-column--24" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--24" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--24" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1999-01-12T05:00:00Z" class="datetime">Jan. 12, 1999</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--24" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Section 13(f) Confidential Treatment Requests
          </td>
                                                              <td headers="view-field-subtopic-table-column--24" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--24" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--24" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-06-17T08:00:00Z" class="datetime">June 17, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--24" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Rulemaking for EDGAR System
          </td>
                                                              <td headers="view-field-subtopic-table-column--24" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--24" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--24" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-07-01T04:00:00Z" class="datetime">July 1, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--24" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Request for Confidential Treatment Filed by Institutional Investment Managers
          </td>
                                                              <td headers="view-field-subtopic-table-column--24" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--24" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--24" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1985-05-14T04:00:00Z" class="datetime">May 14, 1985</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--24" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Request for Confidential Treatment Filed by Institutional Investment Managers
          </td>
                                                              <td headers="view-field-subtopic-table-column--24" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--24" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--24" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1984-12-05T05:00:00Z" class="datetime">Dec. 5, 1984</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--24" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Request for Confidential Treatment Filed by Institutional Investment Managers
          </td>
                                                              <td headers="view-field-subtopic-table-column--24" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--24" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--24" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1979-06-28T04:00:00Z" class="datetime">June 28, 1979</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--24" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Filing and Reporting Requirements Relating to Institutional Investment Managers
          </td>
                                                              <td headers="view-field-subtopic-table-column--24" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--24" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--24" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1979-01-05T05:00:00Z" class="datetime">Jan. 5, 1979</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--24" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Division of Investment Management's Interpretative Positions Relating to Rule 13f-1 and Related Form 13F
          </td>
                                                              <td headers="view-field-subtopic-table-column--24" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--24" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--24" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1978-11-02T05:00:00Z" class="datetime">Nov. 2, 1978</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--24" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Filing and Reporting Requirements Relating to Institutional lnvestment Managers
          </td>
                                                              <td headers="view-field-subtopic-table-column--24" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--24" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--24" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1978-06-15T04:00:00Z" class="datetime">June 15, 1978</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--24" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Reporting by Institutional Investment Managers of Information with Respect to Accounts over Which Investment Discretion Is Exercised
          </td>
                                                              <td headers="view-field-subtopic-table-column--24" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--24" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--24" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1977-03-22T05:00:00Z" class="datetime">March 22, 1977</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
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<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Form ADV/Registration and Disclosure
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--25" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--25" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/form-crs-faq" target="_blank">Frequently Asked Questions on Form CRS</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2020-02-11T22:49:16Z" class="datetime">Feb. 11, 2020</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/faq-disclosure-conflicts-investment-adviser-compensation" target="_self">Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-10-18T21:47:33Z" class="datetime">Oct. 18, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>IARD Entitlement Forms
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Small Entity Compliance Guide
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Frequently Asked Questions on Form ADV and IARD
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-09-29T04:00:00Z" class="datetime">Sept. 29, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>(Staff Guidance Concerning Investment Adviser Reliance on Predecessor Registrations)
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-11-18T05:00:00Z" class="datetime">Nov. 18, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Form ADV and Investment Advisers Act Rules
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-08-25T04:00:00Z" class="datetime">Aug. 25, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Goldman, Sachs & Co.
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-06-20T04:00:00Z" class="datetime">June 20, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Regulation of Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-03-01T05:00:00Z" class="datetime">March 1, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Rules Implementing Amendments to the Investment Advisers Act of 1940
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-06-22T04:00:00Z" class="datetime">June 22, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Rules Under the Investment Advisers Act of 1940
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-06-22T04:00:00Z" class="datetime">June 22, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Amendments to Form ADV (Extension of Compliance Date)
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-12-28T05:00:00Z" class="datetime">Dec. 28, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Amendments to Form ADV
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-07-28T04:00:00Z" class="datetime">July 28, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Technical Amendments to Form ADV
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-01-17T05:00:00Z" class="datetime">Jan. 17, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Technical Amendments to Form ADV, Form ADV-W, Form ADV-H, Form ADV-E
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-03-30T05:00:00Z" class="datetime">March 30, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Exemption for Certain Investment Advisers Operating Through the Internet
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-12-12T05:00:00Z" class="datetime">Dec. 12, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2000-12-21T05:00:00Z" class="datetime">Dec. 21, 2000</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Electronic Filing by Investment Advisers (Amendments to Form ADV)
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2000-09-12T04:00:00Z" class="datetime">Sept. 12, 2000</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--25" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Amendments to Form ADV
          </td>
                                                              <td headers="view-field-subtopic-table-column--25" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--25" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--25" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2000-04-05T04:00:00Z" class="datetime">April 5, 2000</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

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<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Form N-1A/Registration and Disclosure
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--26" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--26" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--26" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.sec.gov/investment/tailored-shareholder-reports-faqs" target="_blank">Tailored Shareholder Reports</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--26" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2024-01-26T21:09:55Z" class="datetime">Jan. 26, 2024</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--26" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/news/public-statement/staff-statement-investing-bitcoin-futures-market" target="_blank">Staff Statement on Funds Registered Under the Investment Company Act Investing in the Bitcoin Futures Market</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--26" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2021-05-11T15:49:13Z" class="datetime">May 11, 2021</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--26" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Registration form for open-end management investment companies
          </td>
                                                              <td headers="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--26" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--26" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Frequently Asked Questions on IM Guidance Update 2016-06 (Mutual Fund Fee Structures)
          </td>
                                                              <td headers="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--26" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-02-15T07:00:00Z" class="datetime">Feb. 15, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--26" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Mutual Fund Fee Structures
          </td>
                                                              <td headers="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--26" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-12-15T05:00:00Z" class="datetime">Dec. 15, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--26" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fund Disclosure Reflecting Risks Related to Current Market Conditions
          </td>
                                                              <td headers="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--26" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-03-09T05:00:00Z" class="datetime">March 9, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--26" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Guidance Regarding Mutual Fund Enhanced Disclosure
          </td>
                                                              <td headers="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--26" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-06-26T04:00:00Z" class="datetime">June 26, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--26" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fund Names Suggesting Protection From Loss
          </td>
                                                              <td headers="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--26" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-11-13T05:00:00Z" class="datetime">Nov. 13, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--26" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Interactive Data for Mutual Fund Risk/Return Summary (Correction)
          </td>
                                                              <td headers="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--26" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-05-01T04:00:00Z" class="datetime">May 1, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--26" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Interactive Data for Mutual Fund Risk/Return Summary
          </td>
                                                              <td headers="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--26" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-02-11T05:00:00Z" class="datetime">Feb. 11, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--26" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Enhanced Disclosure and New Prospectus Delivery Option For Registered Open-End Management Investment Companies
          </td>
                                                              <td headers="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--26" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-01-13T05:00:00Z" class="datetime">Jan. 13, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--26" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Extension of Interactive Data Voluntary Reporting Program on the Edgar System to Include Mutual Fund Risk/Return Summary Information
          </td>
                                                              <td headers="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--26" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-07-11T04:00:00Z" class="datetime">July 11, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--26" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Disclosure of Breakpoint Discounts by Mutual Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--26" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-06-07T04:00:00Z" class="datetime">June 7, 2004</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--26" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>New Disclosure Option for Open-End Management Investment Companies
          </td>
                                                              <td headers="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--26" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-03-13T05:00:00Z" class="datetime">March 13, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--26" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Registration Form Used by Open-End Management Investment Companies (Form)
          </td>
                                                              <td headers="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--26" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-03-13T05:00:00Z" class="datetime">March 13, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--26" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Registration Form Used by Open-End Management Investment Companies (Rule)
          </td>
                                                              <td headers="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--26" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-03-13T05:00:00Z" class="datetime">March 13, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--26" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Plain English Disclosure
          </td>
                                                              <td headers="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--26" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-01-28T05:00:00Z" class="datetime">Jan. 28, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--26" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Eaton Vance Master Portfolio
          </td>
                                                              <td headers="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--26" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1996-12-11T05:00:00Z" class="datetime">Dec. 11, 1996</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--26" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Frank Russell Investment Management Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--26" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--26" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--26" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1993-08-30T04:00:00Z" class="datetime">Aug. 30, 1993</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Form N-2/Registration and Disclosure
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--27" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--27" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--27" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--27" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--27" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Registration statement for closed-end management investment companies
          </td>
                                                              <td headers="view-field-subtopic-table-column--27" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--27" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--27" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--27" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>The Mexico Fund, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--27" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--27" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--27" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-12-31T05:00:00Z" class="datetime">Dec. 31, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--27" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fund Names Suggesting Protection From Loss
          </td>
                                                              <td headers="view-field-subtopic-table-column--27" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--27" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--27" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-11-13T05:00:00Z" class="datetime">Nov. 13, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--27" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Aberdeen Asia-Pacific Income Fund, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--27" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--27" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--27" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-06-26T04:00:00Z" class="datetime">June 26, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--27" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2013/credit-suisse-062613-486b.pdf" target="_blank">Credit Suisse High Yield Bond Fund and Credit Suisse Asset Management Income Fund, Inc. (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--27" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--27" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--27" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-06-26T04:00:00Z" class="datetime">June 26, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--27" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Eaton Vance, et al.
          </td>
                                                              <td headers="view-field-subtopic-table-column--27" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--27" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--27" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-06-26T04:00:00Z" class="datetime">June 26, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--27" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>First Trust, et al.
          </td>
                                                              <td headers="view-field-subtopic-table-column--27" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--27" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--27" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-06-26T04:00:00Z" class="datetime">June 26, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--27" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2013/john-hancock-062613-486b.pdf" target="_blank">John Hancock Investors Trust and John Hancock Tax-Advantaged Global Shareholder Yield Fund (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--27" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--27" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--27" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-06-26T04:00:00Z" class="datetime">June 26, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--27" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2013/nexpoint-062613-486b.pdf" target="_blank">NexPoint Credit Strategies Fund (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--27" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--27" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--27" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-06-26T04:00:00Z" class="datetime">June 26, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--27" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2013/nuveen-062613-486b.pdf" target="_blank">Nuveen, et al (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--27" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--27" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--27" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-06-26T04:00:00Z" class="datetime">June 26, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--27" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Energy Income and Growth Fund and First Trust Active Dividend Income Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--27" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--27" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--27" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-07-27T04:00:00Z" class="datetime">July 27, 2010</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Form N-3/Registration and Disclosure
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--28" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--28" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--28" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--28" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--28" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Registration statement of separate accounts organized as management investment companies
          </td>
                                                              <td headers="view-field-subtopic-table-column--28" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--28" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--28" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Form N-4/Registration and Disclosure
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--29" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--29" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--29" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--29" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--29" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Registration statement of separate accounts organized as unit investment trusts
          </td>
                                                              <td headers="view-field-subtopic-table-column--29" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--29" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--29" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--29" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Frequently Asked Questions on IM Guidance Update 2016-06 (Mutual Fund Fee Structures)
          </td>
                                                              <td headers="view-field-subtopic-table-column--29" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--29" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--29" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-02-15T07:00:00Z" class="datetime">Feb. 15, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--29" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Annuity Contracts
          </td>
                                                              <td headers="view-field-subtopic-table-column--29" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--29" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--29" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-11-13T05:00:00Z" class="datetime">Nov. 13, 2002</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Form N-6/Registration and Disclosure
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--30" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--30" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--30" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--30" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--30" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies
          </td>
                                                              <td headers="view-field-subtopic-table-column--30" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--30" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--30" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--30" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Annuity Contracts
          </td>
                                                              <td headers="view-field-subtopic-table-column--30" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--30" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--30" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-11-13T05:00:00Z" class="datetime">Nov. 13, 2002</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Form N-14
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--31" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--31" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--31" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--31" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--31" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Form for the registration of securities issued in business combination transactions by investment companies and business development companies
          </td>
                                                              <td headers="view-field-subtopic-table-column--31" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--31" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--31" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Form N-CEN
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--32" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--32" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--32" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--32" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--32" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Company Reporting Modernization Frequently Asked Questions
          </td>
                                                              <td headers="view-field-subtopic-table-column--32" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--32" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--32" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2018-04-27T04:00:00Z" class="datetime">April 27, 2018</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--32" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Small Entity Compliance Guide
          </td>
                                                              <td headers="view-field-subtopic-table-column--32" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--32" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--32" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-11-23T05:00:00Z" class="datetime">Nov. 23, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--32" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Company Reporting Modernization
          </td>
                                                              <td headers="view-field-subtopic-table-column--32" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--32" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--32" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-10-13T04:00:00Z" class="datetime">Oct. 13, 2016</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Form N-CSR/N-Q
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--33" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--33" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--33" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--33" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--33" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.sec.gov/investment/tailored-shareholder-reports-faqs" target="_blank">Tailored Shareholder Reports</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--33" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--33" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--33" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2024-01-26T21:16:35Z" class="datetime">Jan. 26, 2024</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--33" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Certified shareholder report of registered management investment companies
          </td>
                                                              <td headers="view-field-subtopic-table-column--33" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--33" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--33" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--33" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--33" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--33" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--33" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--33" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Technical Amendments to Forms N-CSR and N-SAR in Connection with the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010
          </td>
                                                              <td headers="view-field-subtopic-table-column--33" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--33" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--33" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-10-13T04:00:00Z" class="datetime">Oct. 13, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--33" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>College and University Facility Loan Trust One, et al.
          </td>
                                                              <td headers="view-field-subtopic-table-column--33" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--33" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--33" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-11-29T05:00:00Z" class="datetime">Nov. 29, 2004</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Form N-PORT
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--34" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--34" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--34" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--34" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--34" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Company Reporting Modernization Frequently Asked Questions
          </td>
                                                              <td headers="view-field-subtopic-table-column--34" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--34" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--34" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2018-04-27T04:00:00Z" class="datetime">April 27, 2018</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--34" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Company Liquidity Risk Management Programs Frequently Asked Questions
          </td>
                                                              <td headers="view-field-subtopic-table-column--34" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--34" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--34" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2018-01-10T05:00:00Z" class="datetime">Jan. 10, 2018</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--34" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Small Entity Compliance Guide
          </td>
                                                              <td headers="view-field-subtopic-table-column--34" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--34" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--34" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-11-23T05:00:00Z" class="datetime">Nov. 23, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--34" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Company Reporting Modernization
          </td>
                                                              <td headers="view-field-subtopic-table-column--34" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--34" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--34" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-10-13T04:00:00Z" class="datetime">Oct. 13, 2016</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Form N-PX
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--35" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--35" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--35" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--35" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--35" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Annual Report of Proxy Voting Record of Registered Management Investment Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--35" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--35" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--35" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
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<table class="list">
      <h1 class="grouped">
          Form N-SAR
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--36" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--36" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--36" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--36" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--36" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Semi-annual report of registered investment companies
          </td>
                                                              <td headers="view-field-subtopic-table-column--36" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--36" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--36" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--36" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Technical Amendments to Forms N-CSR and N-SAR in Connection with the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010
          </td>
                                                              <td headers="view-field-subtopic-table-column--36" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--36" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--36" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-10-13T04:00:00Z" class="datetime">Oct. 13, 2010</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Form PF
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--37" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--37" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--37" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--37" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--37" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Electronic Filing of Form PF for Investment Advisers on PFRD
          </td>
                                                              <td headers="view-field-subtopic-table-column--37" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--37" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--37" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--37" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Private Funds Statistics
          </td>
                                                              <td headers="view-field-subtopic-table-column--37" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--37" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--37" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--37" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors
          </td>
                                                              <td headers="view-field-subtopic-table-column--37" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--37" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--37" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--37" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Form PF - Frequently Asked Questions
          </td>
                                                              <td headers="view-field-subtopic-table-column--37" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--37" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--37" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-01-18T07:00:00Z" class="datetime">Jan. 18, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--37" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Money Market Fund Reform; Amendments to Form PF
          </td>
                                                              <td headers="view-field-subtopic-table-column--37" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--37" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--37" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-07-23T04:00:00Z" class="datetime">July 23, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--37" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
          </td>
                                                              <td headers="view-field-subtopic-table-column--37" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--37" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--37" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-10-31T04:00:00Z" class="datetime">Oct. 31, 2011</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Fund Governance
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--38" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--38" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--38" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--38" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--38" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Company Governance
          </td>
                                                              <td headers="view-field-subtopic-table-column--38" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--38" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--38" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-07-27T04:00:00Z" class="datetime">July 27, 2004</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--38" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Adams Express Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--38" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--38" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--38" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1984-09-07T04:00:00Z" class="datetime">Sept. 7, 1984</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Fund Mergers
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--39" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--39" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--39" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--39" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--39" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Merger of Two Exchange-Traded Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--39" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--39" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--39" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-09-25T04:00:00Z" class="datetime">Sept. 25, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--39" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fifth Street Finance Corp.
          </td>
                                                              <td headers="view-field-subtopic-table-column--39" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--39" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--39" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-02-25T05:00:00Z" class="datetime">Feb. 25, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--39" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Franklin Templeton Investments
          </td>
                                                              <td headers="view-field-subtopic-table-column--39" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--39" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--39" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-11-21T05:00:00Z" class="datetime">Nov. 21, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--39" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>First Great-West Life & Annuity Insurance Company & Canada Life Insurance Company of New York
          </td>
                                                              <td headers="view-field-subtopic-table-column--39" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--39" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--39" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2005-12-22T05:00:00Z" class="datetime">Dec. 22, 2005</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--39" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Allstate Life Insurance Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--39" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--39" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--39" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-12-23T05:00:00Z" class="datetime">Dec. 23, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--39" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Company Mergers
          </td>
                                                              <td headers="view-field-subtopic-table-column--39" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--39" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--39" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-07-18T04:00:00Z" class="datetime">July 18, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--39" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>The Eaton Vance Group of Investment Companies
          </td>
                                                              <td headers="view-field-subtopic-table-column--39" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--39" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--39" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-07-25T04:00:00Z" class="datetime">July 25, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--39" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Equitable Life Assurance Society
          </td>
                                                              <td headers="view-field-subtopic-table-column--39" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--39" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--39" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1996-12-18T05:00:00Z" class="datetime">Dec. 18, 1996</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

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<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Fund of Funds
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--40" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--40" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--40" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--40" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--40" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/fund-funds-arrangements-faq" target="_blank">Fund of Funds Arrangements Frequently Asked Questions</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--40" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--40" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--40" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2021-04-14T20:20:51Z" class="datetime">April 14, 2021</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--40" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fund of Funds - Direct Investment
          </td>
                                                              <td headers="view-field-subtopic-table-column--40" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--40" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--40" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-09-24T01:44:52Z" class="datetime">Sept. 23, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--40" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fund of Funds - Multi-Group
          </td>
                                                              <td headers="view-field-subtopic-table-column--40" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--40" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--40" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-09-24T01:44:52Z" class="datetime">Sept. 23, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--40" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dechert LLP
          </td>
                                                              <td headers="view-field-subtopic-table-column--40" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--40" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--40" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-03-08T05:00:00Z" class="datetime">March 8, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--40" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2017/dechert-012517-12d1.htm" target="_blank">Dechert (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--40" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--40" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--40" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-01-25T05:00:00Z" class="datetime">Jan. 25, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--40" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2016/thrivent-092716-12d1.htm" target="_blank">Thrivent Financial for Lutherans and Thrivent Asset Management, LLC (Withdrawn))</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--40" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--40" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--40" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-09-27T04:00:00Z" class="datetime">Sept. 27, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--40" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2015/northern-lights-fund-trust-063015.htm" target="_blank">Northern Lights Fund Trust (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--40" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--40" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--40" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-06-29T04:00:00Z" class="datetime">June 29, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--40" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/2015/franklin-templeton-investments040315-12d1.htm" target="_blank">Franklin Templeton Investments (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--40" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--40" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--40" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-04-03T04:00:00Z" class="datetime">April 3, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--40" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>New Mountain Finance Corporation
          </td>
                                                              <td headers="view-field-subtopic-table-column--40" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--40" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--40" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-12-18T05:00:00Z" class="datetime">Dec. 18, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--40" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Staff Responses to Questions Regarding Disclosure of Fund of Funds Expenses
          </td>
                                                              <td headers="view-field-subtopic-table-column--40" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--40" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--40" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-05-23T08:00:00Z" class="datetime">May 23, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--40" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fund of Funds Investments
          </td>
                                                              <td headers="view-field-subtopic-table-column--40" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--40" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--40" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-06-20T04:00:00Z" class="datetime">June 20, 2006</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Ineligible/Disqualified Firms
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--41" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--41" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--41" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--41" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--41" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-subtopic-table-column--41" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--41" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--41" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-09-24T01:44:53Z" class="datetime">Sept. 23, 2019</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Insured Investments
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--42" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--42" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--42" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--42" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--42" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/accounting-and-disclosure-information/adi-2020-10-filing-and-delivery-obligations" target="_blank">ADI 2020-10 – Filing and Delivery Obligations for Certain Discontinued Variable Insurance Products </a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--42" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--42" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--42" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2020-04-22T19:13:48Z" class="datetime">April 22, 2020</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--42" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Insurance Products - Bonus Recapture
          </td>
                                                              <td headers="view-field-subtopic-table-column--42" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--42" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--42" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-09-24T01:44:53Z" class="datetime">Sept. 23, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--42" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Insurance Products - Exchange Offer
          </td>
                                                              <td headers="view-field-subtopic-table-column--42" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--42" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--42" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-09-24T01:44:53Z" class="datetime">Sept. 23, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--42" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Insurance Products - Fund Substitution
          </td>
                                                              <td headers="view-field-subtopic-table-column--42" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--42" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--42" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-09-24T01:44:53Z" class="datetime">Sept. 23, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--42" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Insurance Products - Mixed and Shared Funding
          </td>
                                                              <td headers="view-field-subtopic-table-column--42" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--42" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--42" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--42" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Insurance Products - Substitution Related Affiliated Securities Transactions
          </td>
                                                              <td headers="view-field-subtopic-table-column--42" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--42" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--42" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-09-24T01:44:53Z" class="datetime">Sept. 23, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--42" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Jackson National Life
          </td>
                                                              <td headers="view-field-subtopic-table-column--42" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--42" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--42" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-07-09T04:00:00Z" class="datetime">July 9, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--42" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Guidance Regarding Mixed and Shared Funding Orders
          </td>
                                                              <td headers="view-field-subtopic-table-column--42" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--42" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--42" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-10-28T04:00:00Z" class="datetime">Oct. 28, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--42" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Auditing Standards for Financial Statements of Insurance Company Depositors of Variable Insurance Products, Staff Letters
          </td>
                                                              <td headers="view-field-subtopic-table-column--42" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--42" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--42" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2005-03-08T05:00:00Z" class="datetime">March 8, 2005</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--42" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Acacia National Life Insurance Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--42" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--42" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--42" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-12-19T05:00:00Z" class="datetime">Dec. 19, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--42" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Allstate Life Insurance Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--42" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--42" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--42" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-12-23T05:00:00Z" class="datetime">Dec. 23, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--42" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Aid Association for Lutherans/Lutheran Brotherhood
          </td>
                                                              <td headers="view-field-subtopic-table-column--42" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--42" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--42" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-12-21T05:00:00Z" class="datetime">Dec. 21, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--42" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>AIG Life Insurance Company - American International Life Assurance Company of New York
          </td>
                                                              <td headers="view-field-subtopic-table-column--42" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--42" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--42" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-11-06T05:00:00Z" class="datetime">Nov. 6, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--42" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>AIG Life Insurance Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--42" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--42" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--42" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-08-16T04:00:00Z" class="datetime">Aug. 16, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--42" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Retail Exception to Section 11, Letter to NAVA
          </td>
                                                              <td headers="view-field-subtopic-table-column--42" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--42" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--42" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-06-19T04:00:00Z" class="datetime">June 19, 2001</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          International
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--43" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--43" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/tm/temporary-international-mail-service-suspension" target="_blank">Staff Statement Regarding Temporary International Mail Service Suspensions to Certain Jurisdictions Related to the COVID-19 Pandemic</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2020-06-25T21:59:29Z" class="datetime">June 25, 2020</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>(Information Update for Advisers Relying on the Unibanco No-Action Letters)
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-03-13T04:00:00Z" class="datetime">March 13, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dechert LLP
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-03-08T05:00:00Z" class="datetime">March 8, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Royal Dutch Shell plc
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-08-07T04:00:00Z" class="datetime">Aug. 7, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Erste Abwicklungsanstalt
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-10-10T04:00:00Z" class="datetime">Oct. 10, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Foxby Corp.
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-09-17T04:00:00Z" class="datetime">Sept. 17, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Allianz of America, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-05-25T04:00:00Z" class="datetime">May 25, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dechert LLP
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-08-24T04:00:00Z" class="datetime">Aug. 24, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fortis Group, et al.
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-01-27T05:00:00Z" class="datetime">Jan. 27, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Franklin Templeton Investments
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-11-21T05:00:00Z" class="datetime">Nov. 21, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dexia Municipal Agency
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-12-26T05:00:00Z" class="datetime">Dec. 26, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ABA Subcommittee on Private Investment Entities
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-08-10T04:00:00Z" class="datetime">Aug. 10, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>France Growth Fund, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-07-15T04:00:00Z" class="datetime">July 15, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fixed Income Clearing Corporation
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-03-13T05:00:00Z" class="datetime">March 13, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>France Growth Fund, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-04-06T04:00:00Z" class="datetime">April 6, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fidelity Advisor Korea Fund, Inc
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-03-07T05:00:00Z" class="datetime">March 7, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Goodwin, Procter & Hoar
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-10-05T04:00:00Z" class="datetime">Oct. 5, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Chase Manhattan Bank
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-06-12T04:00:00Z" class="datetime">June 12, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Depository Clearing Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-12-19T05:00:00Z" class="datetime">Dec. 19, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Five Arrows Short-Term Investment Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-09-26T04:00:00Z" class="datetime">Sept. 26, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ABN AMRO Bank N.V.
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-07-01T04:00:00Z" class="datetime">July 1, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Bucharest Stock Exchange
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-06-03T04:00:00Z" class="datetime">June 3, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Eaton Vance South Asia Portfolio
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-03-12T05:00:00Z" class="datetime">March 12, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Goodwin, Procter & Hoar
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-02-28T05:00:00Z" class="datetime">Feb. 28, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Financial Services Board
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1996-04-24T04:00:00Z" class="datetime">April 24, 1996</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Mark A. Bush
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-08-08T04:00:00Z" class="datetime">Aug. 8, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fiduciary Trust Global Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-08-02T04:00:00Z" class="datetime">Aug. 2, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ESI S.A.
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-02-02T05:00:00Z" class="datetime">Feb. 2, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>The Canadian Depository for Securities Limited
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-08-04T04:00:00Z" class="datetime">Aug. 4, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Custody of B Shares Trading on the Shenzhen and Shanghai Securities Exchanges
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1993-04-26T04:00:00Z" class="datetime">April 26, 1993</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--43" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Alliance Capital Management L.P.
          </td>
                                                              <td headers="view-field-subtopic-table-column--43" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--43" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--43" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1993-04-07T04:00:00Z" class="datetime">April 7, 1993</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Investment Advisers - General
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--44" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--44" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.finra.org/rules-guidance/key-topics/senior-investors/elder-abuse-prevention-training" target="_blank">Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors </a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2021-06-28T19:58:02Z" class="datetime">June 28, 2021</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/sifma-110419" target="_blank">Securities Industry and Financial Markets Association</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-11-04T22:37:40Z" class="datetime">Nov. 4, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/faq-disclosure-conflicts-investment-adviser-compensation" target="_self">Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-10-18T21:49:50Z" class="datetime">Oct. 18, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Downloadable File of Certain Registration Information for All Active SEC-registered Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>IARD Entitlement Forms
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Private Funds Statistics
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Electronic Filing for Investment Advisers on IARD
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Form 13F (Discretionary Managers with $100M or more of certain securities)
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Form ADV (Application for Registration and Report for Exempt Reporting Advisers)
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Form ADV Part 1A Summary of Changes Per IA 4509 To Be Implemented October 1, 2017
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span> 

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Form PF (Reporting for Advisers to Private Funds)
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Other Forms (ADV-E, ADV-H, ADV-NR, ADV-W)
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Amendments to Investment Advisers Act Rules to Reflect Changes Made by the FAST Act
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2018-01-05T05:00:00Z" class="datetime">Jan. 5, 2018</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Small Entity Compliance Guide
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2018-01-05T05:00:00Z" class="datetime">Jan. 5, 2018</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Securities Industry and Financial Markets Association
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-10-26T04:00:00Z" class="datetime">Oct. 26, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Innovator Capital Management, LLC,Â et al.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-10-06T04:00:00Z" class="datetime">Oct. 6, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Frequently Asked Questions on Form ADV and IARD
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-09-29T04:00:00Z" class="datetime">Sept. 29, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Nuveen Fund Advisors, LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-06-20T04:00:00Z" class="datetime">June 20, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Frequently Asked Questions about 13F
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-03-15T08:00:00Z" class="datetime">March 15, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>IM Guidance Update (Robo-Advisers)
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-02-23T05:00:00Z" class="datetime">Feb. 23, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>(Staff Guidance Concerning Investment Adviser Reliance on Predecessor Registrations)
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-11-18T05:00:00Z" class="datetime">Nov. 18, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Neuberger Berman Investment Advisers LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-09-28T04:00:00Z" class="datetime">Sept. 28, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Form ADV and Investment Advisers Act Rules
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-08-25T04:00:00Z" class="datetime">Aug. 25, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Small Entity Compliance Guide
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Adviser Business Continuity and Transition Plans
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-06-28T04:00:00Z" class="datetime">June 28, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Code of Ethics Guidance for Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-06-26T04:00:00Z" class="datetime">June 26, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Cybersecurity Guidance
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-04-28T04:00:00Z" class="datetime">April 28, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Jonathon Hendricks
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-01-26T05:00:00Z" class="datetime">Jan. 26, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Staff Legal Bulletin: Proxy Voting Responsibilities of Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-07-01T04:00:00Z" class="datetime">July 1, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>MEAG MUNICH ERGO.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-02-14T05:00:00Z" class="datetime">Feb. 14, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Frequently Asked Questions on Form PF
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-02-12T05:00:00Z" class="datetime">Feb. 12, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Risk Management in Changing Fixed Income Market Conditions
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-01-15T05:00:00Z" class="datetime">Jan. 15, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>RBS Securities, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-11-26T05:00:00Z" class="datetime">Nov. 26, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Wells Fargo Bank, N.A.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-07-15T04:00:00Z" class="datetime">July 15, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Goldman, Sachs & Co.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-06-20T04:00:00Z" class="datetime">June 20, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Compliance With Exemptive Order
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-05-10T04:00:00Z" class="datetime">May 10, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Identity Theft Red Flags
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-04-10T04:00:00Z" class="datetime">April 10, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Regulation of Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-03-01T05:00:00Z" class="datetime">March 1, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Emerging Global Advisors, LLC and EGA Emerging Global Shares Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-02-27T05:00:00Z" class="datetime">Feb. 27, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Advisers Registered with the Commodity Futures Trading Commission (CFTC) that Advise Private Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-11-15T05:00:00Z" class="datetime">Nov. 15, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dodd-Frank Act Changes to Investment Adviser Registration Requirements
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-10-01T04:00:00Z" class="datetime">Oct. 1, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Staff Responses to Questions About the Pay to Play Rule
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-07-27T04:00:00Z" class="datetime">July 27, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Advisory Contracts - Consent
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-06-15T04:00:00Z" class="datetime">June 15, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Political Contributions by Investment Advisers (Pay to Play Rule)
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-06-11T04:00:00Z" class="datetime">June 11, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Staff Responses to Questions About the Family Office Rule
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-04-27T04:00:00Z" class="datetime">April 27, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Regulation of Investment Advisers: Outline and Staff Views
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-04-01T04:00:00Z" class="datetime">April 1, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Advisory Contracts - Transition for Newly Registered and Registering Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-03-30T04:00:00Z" class="datetime">March 30, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Persons Who Provide Advice Solely Regarding Matters Not Concerning Securities
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-03-27T04:00:00Z" class="datetime">March 27, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>GE Funding Capital Market Services, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-01-25T05:00:00Z" class="datetime">Jan. 25, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Staff Responses to Questions About the Custody Rule
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-12-13T05:00:00Z" class="datetime">Dec. 13, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Reporting by Investment Advisers to Private Funds (Form PF)
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-10-31T04:00:00Z" class="datetime">Oct. 31, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Frequently Asked Questions Regarding Mid-Sized Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-06-28T04:00:00Z" class="datetime">June 28, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dodd-Frank Exemptions Release (Venture Capital Fund Advisers, Private Fund Advisers with less than $150M AUM, and Foreign Private Advisers)
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-06-22T04:00:00Z" class="datetime">June 22, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dodd-Frank Implementing Release (Registration of Private Fund Advisers, Reallocation of Mid-Sized Advisers)
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-06-22T04:00:00Z" class="datetime">June 22, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Family Offices
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-06-22T04:00:00Z" class="datetime">June 22, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Rules Implementing Amendments to the Investment Advisers Act of 1940
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-06-22T04:00:00Z" class="datetime">June 22, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Rules Under the Investment Advisers Act of 1940
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-06-22T04:00:00Z" class="datetime">June 22, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Staff Responses to Questions About Part 2 of Form ADV
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-03-18T04:00:00Z" class="datetime">March 18, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Information for Newly-Registered Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-11-23T05:00:00Z" class="datetime">Nov. 23, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Information for Newly Registered Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-11-01T04:00:00Z" class="datetime">Nov. 1, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Citigroup Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-10-22T04:00:00Z" class="datetime">Oct. 22, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>General Electric Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-08-02T04:00:00Z" class="datetime">Aug. 2, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Amendments to Form ADV
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-07-28T04:00:00Z" class="datetime">July 28, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Goldman, Sachs & Co.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-07-22T04:00:00Z" class="datetime">July 22, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Claymore Advisors, LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-04-27T04:00:00Z" class="datetime">April 27, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fifth Street Finance Corp.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-02-25T05:00:00Z" class="datetime">Feb. 25, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Custody of Funds or Securities of Clients by Investment Advisers (Custody Rule)
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-12-30T05:00:00Z" class="datetime">Dec. 30, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>General Electric Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-08-12T04:00:00Z" class="datetime">Aug. 12, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Deutsche Bank Securities Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-06-09T04:00:00Z" class="datetime">June 9, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>E*Trade Capital Markets LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-03-12T04:00:00Z" class="datetime">March 12, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fortis Group, et al.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-01-27T05:00:00Z" class="datetime">Jan. 27, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Citigroup Global Markets, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-12-23T05:00:00Z" class="datetime">Dec. 23, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>First Trust/Gallatin Specialty Finance and Financial Opportunities Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-07-11T04:00:00Z" class="datetime">July 11, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Technical Amendments to Form ADV
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-01-17T05:00:00Z" class="datetime">Jan. 17, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Emanuel J. Friedman and EJF Capital LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-01-16T05:00:00Z" class="datetime">Jan. 16, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Citigroup Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-07-26T04:00:00Z" class="datetime">July 26, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Gardner Russo & Gardner
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-06-07T04:00:00Z" class="datetime">June 7, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Evergreen Investment Management Company LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2005-10-11T04:00:00Z" class="datetime">Oct. 11, 2005</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Credit Suisse First Boston, LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2005-08-31T04:00:00Z" class="datetime">Aug. 31, 2005</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>CIBC Mellon Trust Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2005-02-24T05:00:00Z" class="datetime">Feb. 24, 2005</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Goldman, Sachs & Co.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2005-02-23T05:00:00Z" class="datetime">Feb. 23, 2005</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Deutsche Bank Securities Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-09-24T04:00:00Z" class="datetime">Sept. 24, 2004</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Compliance Programs of Investment Companies and Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-12-17T05:00:00Z" class="datetime">Dec. 17, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-10-31T05:00:00Z" class="datetime">Oct. 31, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Credit Suisse First Boston LLC f/k/a Credit Suisse First Boston Corporation
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-10-31T05:00:00Z" class="datetime">Oct. 31, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Goldman, Sachs & Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-10-31T05:00:00Z" class="datetime">Oct. 31, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dougherty & Company LCC
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-07-03T04:00:00Z" class="datetime">July 3, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fahnestock & Company Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-04-21T04:00:00Z" class="datetime">April 21, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dougherty & Company LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-03-21T05:00:00Z" class="datetime">March 21, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Constellation Financial Management LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-01-09T05:00:00Z" class="datetime">Jan. 9, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/evergreen021302.htm" target="_blank">Evergreen Investment Management Company, LLC (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-02-13T05:00:00Z" class="datetime">Feb. 13, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Adviser Regulatory Issues
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2000-05-23T04:00:00Z" class="datetime">May 23, 2000</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Letter From the Office of Compliance Inspections and Examinations: To Registered Investment Advisers, on Areas Reviewed and Violations Found During Inspections
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2000-05-01T04:00:00Z" class="datetime">May 1, 2000</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Amendments to Form ADV
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2000-04-05T04:00:00Z" class="datetime">April 5, 2000</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Franklin Management, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-12-10T05:00:00Z" class="datetime">Dec. 10, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>DALBAR, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-03-24T05:00:00Z" class="datetime">March 24, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>GE Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-02-07T05:00:00Z" class="datetime">Feb. 7, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>First Call Corporation
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-09-06T04:00:00Z" class="datetime">Sept. 6, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Mark A. Bush
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-08-08T04:00:00Z" class="datetime">Aug. 8, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>George Colman
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-07-18T04:00:00Z" class="datetime">July 18, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>California Municipal Cash Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-07-11T04:00:00Z" class="datetime">July 11, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dana Investment Advisors, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-10-12T04:00:00Z" class="datetime">Oct. 12, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--44" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>The Capitol Mutual Funds and Nations Fund Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--44" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--44" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--44" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-02-24T05:00:00Z" class="datetime">Feb. 24, 1994</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          JOBS Act
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--45" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--45" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--45" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--45" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--45" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>The Jumpstart Our Business Startups Act and Investment Companies
          </td>
                                                              <td headers="view-field-subtopic-table-column--45" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--45" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--45" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-05-03T08:00:00Z" class="datetime">May 3, 2012</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Money Market Funds
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--46" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--46" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/investment-company-institute-031920-17a" target="_blank">Investment Company Institute,  March 19, 2020</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2020-03-19T19:54:49Z" class="datetime">March 19, 2020</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Form N-MFP
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>2014 Money Market Fund Reform Frequently Asked Questions
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-01-13T05:00:00Z" class="datetime">Jan. 13, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Money Market Fund Reform; Amendments to Form PF
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-07-23T04:00:00Z" class="datetime">July 23, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Staff Responses to Questions About Money Market Fund Reform
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-08-07T04:00:00Z" class="datetime">Aug. 7, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Tri-Party Repos - Counterparty Risk Management
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-07-17T04:00:00Z" class="datetime">July 17, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Staff Responses to Questions about Rule 30b1-7 and Form N-MFP
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-07-29T04:00:00Z" class="datetime">July 29, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Money Market Funds and Systemic Risk Roundtable
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-05-10T04:00:00Z" class="datetime">May 10, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Staff Responses to Questions about Information Filed on Form N-MFP
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-01-25T05:00:00Z" class="datetime">Jan. 25, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Money Market Fund Reform
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-02-23T05:00:00Z" class="datetime">Feb. 23, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>SEC Release Adopting Form N-MFP
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-02-23T05:00:00Z" class="datetime">Feb. 23, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Disclosure of Certain Money Market Fund Portfolio Holdings
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-09-18T04:00:00Z" class="datetime">Sept. 18, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dechert LLP
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-08-24T04:00:00Z" class="datetime">Aug. 24, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Allianz Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-08-03T04:00:00Z" class="datetime">Aug. 3, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Citigroup Global Markets, Inc
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-05-28T04:00:00Z" class="datetime">May 28, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>College Retirement Equities Fund (CREF)
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-04-13T04:00:00Z" class="datetime">April 13, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Columbia Funds Series Trust - Columbia Cash Reserves
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-03-02T05:00:00Z" class="datetime">March 2, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Columbia Funds Series Trust - Columbia Money Market Reserves
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-03-02T05:00:00Z" class="datetime">March 2, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Columbia Funds Series Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-10-22T04:00:00Z" class="datetime">Oct. 22, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Advantus Series Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-10-20T04:00:00Z" class="datetime">Oct. 20, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dreyfus Cash Management Plus
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-10-20T04:00:00Z" class="datetime">Oct. 20, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dreyfus Money Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-10-20T04:00:00Z" class="datetime">Oct. 20, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dreyfus Money Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-10-20T04:00:00Z" class="datetime">Oct. 20, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Division of Investment Management Responses to Frequently Asked Questions about The Reserve Fund and Money Market Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-10-01T04:00:00Z" class="datetime">Oct. 1, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dreyfus Cash Management, et al.
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-09-25T04:00:00Z" class="datetime">Sept. 25, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Eaton Vance Management
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-06-13T04:00:00Z" class="datetime">June 13, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>EIF Neptune, LLC Starwood Energy Investors, LLC & Atlantic Energy Parts
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2005-07-29T04:00:00Z" class="datetime">July 29, 2005</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/divisions/investment/noaction/aalmutualfunds121202.htm" target="_blank">AAL Mutual Funds, et al. (Withdrawn)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>    <span class="withdrawn">Withdrawn</span>

          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-12-12T05:00:00Z" class="datetime">Dec. 12, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-07-05T04:00:00Z" class="datetime">July 5, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Five Arrows Short-Term Investment Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-09-26T04:00:00Z" class="datetime">Sept. 26, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Charles Schwab & Co., Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-07-07T04:00:00Z" class="datetime">July 7, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ACM Institutional Reserves, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-07-14T04:00:00Z" class="datetime">July 14, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Alliance Municipal Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-07-14T04:00:00Z" class="datetime">July 14, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>California Municipal Cash Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-07-11T04:00:00Z" class="datetime">July 11, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Adam W. Glass
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-06-09T04:00:00Z" class="datetime">June 9, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>CBA Money Fund, et al.
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-06-09T04:00:00Z" class="datetime">June 9, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Donaldson, Lufkin & Jenrette Securities Corporation
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-05-26T04:00:00Z" class="datetime">May 26, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--46" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Sean J. Egan
          </td>
                                                              <td headers="view-field-subtopic-table-column--46" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--46" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--46" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-05-10T04:00:00Z" class="datetime">May 10, 1994</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Mortgages/Real Estate/REITs
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--47" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--47" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/redwood-trust-081519-3c5" target="_blank">Redwood Trust, Inc.</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-08-15T18:47:56Z" class="datetime">Aug. 15, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Great Ajax Funding LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2018-02-12T05:00:00Z" class="datetime">Feb. 12, 2018</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Redwood Trust, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-10-16T04:00:00Z" class="datetime">Oct. 16, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-08-31T04:00:00Z" class="datetime">Aug. 31, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Exclusion From the Definition of Investment Company for Certain Structured Financings
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1992-11-19T05:00:00Z" class="datetime">Nov. 19, 1992</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Exclusion From the Definition of Investment Company for Certain Structured Financings
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1992-05-29T04:00:00Z" class="datetime">May 29, 1992</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Protecting Investors: A Half Century of Investment Company Regulation, Chapter 1
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1992-01-01T00:00:00Z" class="datetime">Dec. 31, 1991</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Greenwich Capital Acceptance Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1991-08-08T04:00:00Z" class="datetime">Aug. 8, 1991</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>NAB Asset Corp.
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1991-06-20T04:00:00Z" class="datetime">June 20, 1991</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Citytrust
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1990-12-19T05:00:00Z" class="datetime">Dec. 19, 1990</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>United States Property Investment N.V.
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1989-05-01T04:00:00Z" class="datetime">May 1, 1989</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>United Bankers
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1988-03-23T05:00:00Z" class="datetime">March 23, 1988</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>M.D.C. Holdings
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1987-05-05T04:00:00Z" class="datetime">May 5, 1987</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>The State Street Mortgage Co.
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1986-11-18T05:00:00Z" class="datetime">Nov. 18, 1986</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>First National Bank of Fremont
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1985-11-18T05:00:00Z" class="datetime">Nov. 18, 1985</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Salomon Brothers, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1985-06-17T04:00:00Z" class="datetime">June 17, 1985</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Health Facility Credit Corp.
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1985-02-06T05:00:00Z" class="datetime">Feb. 6, 1985</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Baton Rouge Building and Construction Industry Foundation
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1984-08-31T04:00:00Z" class="datetime">Aug. 31, 1984</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Northwestern Ohio Building and Construction Trades Foundation
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1984-04-20T05:00:00Z" class="datetime">April 20, 1984</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Nottingham Realty Securities
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1984-04-19T05:00:00Z" class="datetime">April 19, 1984</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Realex Capital Corporation
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1984-04-19T05:00:00Z" class="datetime">April 19, 1984</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>American Home Finance Corp.
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1981-04-09T05:00:00Z" class="datetime">April 9, 1981</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>MGIC Mortgage Corp.
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1974-08-01T04:00:00Z" class="datetime">Aug. 1, 1974</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>MGIC Mortgage Corp.
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1972-10-06T04:00:00Z" class="datetime">Oct. 6, 1972</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Urban Land Investments
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1971-11-04T05:00:00Z" class="datetime">Nov. 4, 1971</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--47" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Real Estate Investment Trusts
          </td>
                                                              <td headers="view-field-subtopic-table-column--47" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--47" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--47" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1960-11-18T05:00:00Z" class="datetime">Nov. 18, 1960</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Pay-to-Play
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--48" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--48" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--48" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--48" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--48" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Compliance Date
          </td>
                                                              <td headers="view-field-subtopic-table-column--48" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--48" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--48" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-06-25T04:00:00Z" class="datetime">June 25, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--48" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Regulation of Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--48" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--48" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--48" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-03-01T05:00:00Z" class="datetime">March 1, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--48" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Staff Responses to Questions About the Pay to Play Rule
          </td>
                                                              <td headers="view-field-subtopic-table-column--48" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--48" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--48" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-07-27T04:00:00Z" class="datetime">July 27, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--48" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation
          </td>
                                                              <td headers="view-field-subtopic-table-column--48" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--48" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--48" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-06-08T04:00:00Z" class="datetime">June 8, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--48" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Technical Amendment to Rule 206(4)-5: Political Contributions by Certain Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--48" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--48" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--48" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-05-08T04:00:00Z" class="datetime">May 8, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--48" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Political Contributions by Certain Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--48" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--48" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--48" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-07-01T04:00:00Z" class="datetime">July 1, 2010</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Portfolio Management - Concentration/Diversification
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--49" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--49" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--49" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--49" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--49" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>BlackRock Multi-Sector Income Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--49" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--49" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--49" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-07-09T04:00:00Z" class="datetime">July 9, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--49" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Morgan Stanley Mortgage Securities Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--49" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--49" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--49" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-07-09T04:00:00Z" class="datetime">July 9, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--49" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Frequently Asked Questions about Rule 35d-1 (Investment Company Names)
          </td>
                                                              <td headers="view-field-subtopic-table-column--49" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--49" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--49" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-12-04T05:00:00Z" class="datetime">Dec. 4, 2001</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Portfolio Management - Liquidity/Leverage/Names Rule
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--50" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--50" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--50" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--50" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--50" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Company Liquidity Risk Management Programs Frequently Asked Questions
          </td>
                                                              <td headers="view-field-subtopic-table-column--50" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--50" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--50" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2018-01-10T05:00:00Z" class="datetime">Jan. 10, 2018</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--50" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Small Entity Compliance Guide
          </td>
                                                              <td headers="view-field-subtopic-table-column--50" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--50" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--50" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-11-23T05:00:00Z" class="datetime">Nov. 23, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--50" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Company Liquidity Risk Management Programs
          </td>
                                                              <td headers="view-field-subtopic-table-column--50" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--50" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--50" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-10-13T04:00:00Z" class="datetime">Oct. 13, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--50" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fund Names Suggesting Protection From Loss
          </td>
                                                              <td headers="view-field-subtopic-table-column--50" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--50" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--50" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-11-13T05:00:00Z" class="datetime">Nov. 13, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--50" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Frequently Asked Questions about Rule 35d-1 (Investment Company Names)
          </td>
                                                              <td headers="view-field-subtopic-table-column--50" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--50" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--50" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-12-04T05:00:00Z" class="datetime">Dec. 4, 2001</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Privacy/Identity Theft
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--51" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--51" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--51" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--51" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--51" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Cybersecurity Guidance
          </td>
                                                              <td headers="view-field-subtopic-table-column--51" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--51" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--51" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-04-28T04:00:00Z" class="datetime">April 28, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--51" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Identity Theft Red Flags Rules
          </td>
                                                              <td headers="view-field-subtopic-table-column--51" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--51" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--51" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-04-10T04:00:00Z" class="datetime">April 10, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--51" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Regulation of Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--51" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--51" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--51" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-03-02T05:00:00Z" class="datetime">March 2, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--51" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Final Model Privacy Form under the Gramm-Leach-Bliley Act
          </td>
                                                              <td headers="view-field-subtopic-table-column--51" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--51" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--51" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-11-16T05:00:00Z" class="datetime">Nov. 16, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--51" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Regulation S-AM: Limitations on Affiliate Marketing
          </td>
                                                              <td headers="view-field-subtopic-table-column--51" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--51" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--51" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-11-05T05:00:00Z" class="datetime">Nov. 5, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--51" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Report Issued on Improving Financial Privacy Notices for Consumers
          </td>
                                                              <td headers="view-field-subtopic-table-column--51" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--51" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--51" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-03-31T05:00:00Z" class="datetime">March 31, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--51" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Staff Responses to Questions about Regulation S-P
          </td>
                                                              <td headers="view-field-subtopic-table-column--51" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--51" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--51" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-01-23T05:00:00Z" class="datetime">Jan. 23, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--51" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Privacy of Consumer Financial Information (Regulation S-P)
          </td>
                                                              <td headers="view-field-subtopic-table-column--51" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--51" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--51" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2000-06-22T04:00:00Z" class="datetime">June 22, 2000</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Private Fund Advisers
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--52" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--52" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/alliance-trust-202a-030521" target="_self">Alliance Trust Company of Nevada, March 5,  2021</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2021-03-05T16:39:25Z" class="datetime">March 5, 2021</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Downloadable File of Certain Registration Information for All Active SEC-registered Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Electronic Filing for Investment Advisers on IARD
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Electronic Filing of Form PF for Investment Advisers on PFRD
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Private Funds Statistics
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Forms
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Frequently Asked Questions on Form ADV and IARD
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-06-12T04:00:00Z" class="datetime">June 12, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Form ADV and Investment Advisers Act Rules
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-08-26T08:00:00Z" class="datetime">Aug. 26, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Guidance on FAST Act Changes to Advisers Act Affecting Advisers to SBICs
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-03-21T04:00:00Z" class="datetime">March 21, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Personal Securities Transactions Reports by Registered Investment Advisers: Securities Held in Accounts Over Which Reporting Persons Had No Influence Or Control
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-06-01T04:00:00Z" class="datetime">June 1, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Cybersecurity Guidance
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-04-28T04:00:00Z" class="datetime">April 28, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>16th Amendment Advisors LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-03-23T04:00:00Z" class="datetime">March 23, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Private Funds and the Application of the Custody Rule to Special Purpose Vehicles and Escrows
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-06-26T04:00:00Z" class="datetime">June 26, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Frequently Asked Questions on Form PF
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-02-12T05:00:00Z" class="datetime">Feb. 12, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Managed Funds Association
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-02-06T05:00:00Z" class="datetime">Feb. 6, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Guidance on the Exemption for Advisers to Venture Capital Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-12-02T05:00:00Z" class="datetime">Dec. 2, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Privately Offered Securities under the Investment Advisers Act Custody Rule
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-11-06T05:00:00Z" class="datetime">Nov. 6, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Status of Certain Private Fund Investors as Qualified Clients
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-11-05T05:00:00Z" class="datetime">Nov. 5, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Staff Responses to Questions About the Custody Rule
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-09-01T04:00:00Z" class="datetime">Sept. 1, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-07-10T04:00:00Z" class="datetime">July 10, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Advisers Registered with the Commodity Futures Trading Commission (CFTC) that Advise Private Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-11-15T05:00:00Z" class="datetime">Nov. 15, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dodd-Frank Act Changes to Investment Adviser Registration Requirements
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-10-01T04:00:00Z" class="datetime">Oct. 1, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Staff Responses to Questions About the Pay to Play Rule
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-07-27T04:00:00Z" class="datetime">July 27, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Political Contributions by Investment Advisers (Pay to Play Rule)
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-06-11T04:00:00Z" class="datetime">June 11, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Net Worth Standard for Accredited Investors (technical amendment)
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-03-23T04:00:00Z" class="datetime">March 23, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Adviser Performance Compensation
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-02-15T05:00:00Z" class="datetime">Feb. 15, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>American Bar Association, Business Law Section
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-01-18T05:00:00Z" class="datetime">Jan. 18, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Net Worth Standard for Accredited Investors
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-12-21T05:00:00Z" class="datetime">Dec. 21, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Frequently Asked Questions Regarding Mid-Sized Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-06-28T04:00:00Z" class="datetime">June 28, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-06-22T04:00:00Z" class="datetime">June 22, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Rules Implementing Amendments to the Investment Advisers Act of 1940
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-06-22T04:00:00Z" class="datetime">June 22, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Amendments to Form ADV
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-07-28T04:00:00Z" class="datetime">July 28, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Custody of Funds or Securities of Clients by Investment Advisers (Custody Rule)
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-12-30T05:00:00Z" class="datetime">Dec. 30, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Technical Amendments to Form ADV
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-01-17T05:00:00Z" class="datetime">Jan. 17, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-08-03T04:00:00Z" class="datetime">Aug. 3, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ABA Subcommittee on Private Investment Entities
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-08-10T04:00:00Z" class="datetime">Aug. 10, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ABA Subcommittee on Private Investment Entities
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2005-12-08T05:00:00Z" class="datetime">Dec. 8, 2005</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Compliance Programs of Investment Companies and Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-12-17T05:00:00Z" class="datetime">Dec. 17, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Hedge Funds Roundtable
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-09-29T04:00:00Z" class="datetime">Sept. 29, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>The Implication of the Growth of Hedge Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-09-01T04:00:00Z" class="datetime">Sept. 1, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Adviser Regulatory Issues
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2000-05-23T04:00:00Z" class="datetime">May 23, 2000</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--52" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Amendments to Form ADV
          </td>
                                                              <td headers="view-field-subtopic-table-column--52" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--52" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--52" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2000-04-05T04:00:00Z" class="datetime">April 5, 2000</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Prospectus Delivery
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--53" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--53" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--53" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--53" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--53" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
          </td>
                                                              <td headers="view-field-subtopic-table-column--53" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--53" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--53" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-01-13T05:00:00Z" class="datetime">Jan. 13, 2009</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Proxy Voting/Shareholder Meetings
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--54" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--54" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/investment-management-no-action-letters" target="_self">Highland Opportunities and Income Fund – Omission of Shareholder Proposal Submitted by Allan Hausman</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2024-04-05T18:04:54Z" class="datetime">April 5, 2024</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/nuveen-14a-8-021624" target="_blank">Nuveen Funds (Nuveen Real Asset Income and Growth Fund; Nuveen Multi-Asset Income Fund, Nuveen Core Plus Impact Fund) – Omission of Shareholder Proposal Submitted by Saba Capital Management, L.P., on behalf of Saba Capital Master Fund, Ltd.</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2024-02-16T22:17:45Z" class="datetime">Feb. 16, 2024</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/puerto-rico-residents-tax-free-fund-14a-8-113023" target="_blank">Puerto Rico Residents Tax-Free Fund, Inc. (Omission of Shareholder Proposal Submitted by Ocean Capital LLC</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2023-11-30T19:43:11Z" class="datetime">Nov. 30, 2023</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/templeton-emerging-markets-income-fund-020521" target="_blank">Templeton Emerging Markets Income Fund (Omission of Shareholder Proposal)</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2021-02-05T21:55:19Z" class="datetime">Feb. 5, 2021</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Delaware Enhanced Global Dividend and Income Fund-Omission of Shareholder Proposal Submitted by Saba Capital Management L.P.
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2018-05-11T04:00:00Z" class="datetime">May 11, 2018</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dividend and Income Fund - Omission of Shareholder Proposal Submitted by Matisse Capital
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2018-03-27T04:00:00Z" class="datetime">March 27, 2018</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>First Trust Mortgage Income Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2018-01-25T05:00:00Z" class="datetime">Jan. 25, 2018</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Swiss Helvetia Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-04-06T04:00:00Z" class="datetime">April 6, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Franklin Limited Duration Income Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-07-27T04:00:00Z" class="datetime">July 27, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Deutsche Multi-Market Income Trust (Omission of Shareholder Proposal)
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-06-24T04:00:00Z" class="datetime">June 24, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Deutsche Strategic Income Trust (Omission of Shareholder Proposal)
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-06-24T04:00:00Z" class="datetime">June 24, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Omission of Shareholder Proposal (Fidelity Freedom 2020 Fund, Fidelity Freedom 2025 Fund, and Fidelity Advisor Municipal Income Fund)
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-08-12T04:00:00Z" class="datetime">Aug. 12, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Omission of Shareholder Proposal Submitted by Steven N. Harris (Liberty All-Star Equity Fund)
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-05-06T04:00:00Z" class="datetime">May 6, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Opportunity Partners L.P. Shareholder Proposal (Clough Global Equity Fund)
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-04-16T04:00:00Z" class="datetime">April 16, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Harris & Harris Group, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-04-03T04:00:00Z" class="datetime">April 3, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Tom DeWard Shareholder Proposal (LMP Real Estate Income Fund, Inc.)
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-03-25T04:00:00Z" class="datetime">March 25, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fidelity Inflation-Protected Bond Fund (Omission of Shareholder Proposal)
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-02-24T05:00:00Z" class="datetime">Feb. 24, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Karpus Management, Inc. Shareholder Proposal (Alliance Bernstein Income Fund, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-02-18T05:00:00Z" class="datetime">Feb. 18, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Ellsworth Fund Ltd
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-11-06T05:00:00Z" class="datetime">Nov. 6, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>JP Morgan Municipal Money Market Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-04-15T04:00:00Z" class="datetime">April 15, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Unbundling of Proxy Proposals-Investment Company Charter Amendments
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-02-24T05:00:00Z" class="datetime">Feb. 24, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Firsthand Technology Value Fund, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-02-11T05:00:00Z" class="datetime">Feb. 11, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>First Trust Dividend and Income Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-01-30T05:00:00Z" class="datetime">Jan. 30, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>College Retirement Equities Fund - Tamari - Request for Reconsideration
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-05-23T04:00:00Z" class="datetime">May 23, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>College Retirement Equities Fund - Fox
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-05-10T04:00:00Z" class="datetime">May 10, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>College Retirement Equities Fund - Tamari
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-05-10T04:00:00Z" class="datetime">May 10, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Regulation of Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-03-01T05:00:00Z" class="datetime">March 1, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Foxby Corp.
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-09-17T04:00:00Z" class="datetime">Sept. 17, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Guggenheim Enhanced Equity Strategy Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-03-21T04:00:00Z" class="datetime">March 21, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Facilitating Shareholder Director Nominations
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-09-15T04:00:00Z" class="datetime">Sept. 15, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>College Retirement Equities Fund ("Fund") Shareholder Proposal of Aaron Levitt
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-05-06T04:00:00Z" class="datetime">May 6, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Adams Express Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-01-26T05:00:00Z" class="datetime">Jan. 26, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Facilitating Shareholder Director Nominations
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-08-25T04:00:00Z" class="datetime">Aug. 25, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Proxy Disclosure Enhancements (Correction)
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-02-23T05:00:00Z" class="datetime">Feb. 23, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Amendments to Rules Requiring Internet Availability of Proxy Materials
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-02-22T05:00:00Z" class="datetime">Feb. 22, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Proxy Disclosure Enhancements
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-12-16T05:00:00Z" class="datetime">Dec. 16, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>College Retirement Equities Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-05-19T04:00:00Z" class="datetime">May 19, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fidelity Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-01-22T05:00:00Z" class="datetime">Jan. 22, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Franklin Universal Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-12-18T05:00:00Z" class="datetime">Dec. 18, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Shareholder Choice Regarding Proxy Materials
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-07-26T04:00:00Z" class="datetime">July 26, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Internet Availability of Proxy Materials
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-01-22T05:00:00Z" class="datetime">Jan. 22, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Alliance World Dollar Government Fund, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-10-19T04:00:00Z" class="datetime">Oct. 19, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Executive Compensation and Related Person Disclosure
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-08-29T04:00:00Z" class="datetime">Aug. 29, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fidelity Magellan Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2005-03-15T05:00:00Z" class="datetime">March 15, 2005</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>College Retirement Equities Fund - Belth
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-05-03T04:00:00Z" class="datetime">May 3, 2004</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>College Retirement Equities Fund - Fuller
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-05-03T04:00:00Z" class="datetime">May 3, 2004</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>College Retirement Equities Fund - Stone
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-05-03T04:00:00Z" class="datetime">May 3, 2004</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Current Income Shares, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-07-10T04:00:00Z" class="datetime">July 10, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>France Growth Fund, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-04-06T04:00:00Z" class="datetime">April 6, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>France Growth Fund, Inc.; Advantage Partners LP
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-04-06T04:00:00Z" class="datetime">April 6, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>France Growth Fund, Inc.; Strome Hedgecap Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-04-06T04:00:00Z" class="datetime">April 6, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fidelity Advisor Korea Fund, Inc
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-03-07T05:00:00Z" class="datetime">March 7, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Delivery of Proxy Statements and Information Statements to Households
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2000-10-27T04:00:00Z" class="datetime">Oct. 27, 2000</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--54" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Alameda Contra Costa Medical Association Collective Investment Trust for Retirement Plans
          </td>
                                                              <td headers="view-field-subtopic-table-column--54" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--54" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--54" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1993-08-26T04:00:00Z" class="datetime">Aug. 26, 1993</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Real Estate/REITs
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--55" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--55" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--55" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--55" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--55" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Capital Trust, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--55" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--55" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--55" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-02-03T05:00:00Z" class="datetime">Feb. 3, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--55" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Capital Trust, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--55" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--55" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--55" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-05-24T04:00:00Z" class="datetime">May 24, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--55" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>College Retirement Equities Fund - Buchman
          </td>
                                                              <td headers="view-field-subtopic-table-column--55" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--55" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--55" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-05-03T04:00:00Z" class="datetime">May 3, 2004</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--55" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>College Retirement Equities Fund Real Estate Account
          </td>
                                                              <td headers="view-field-subtopic-table-column--55" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--55" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--55" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1993-07-22T04:00:00Z" class="datetime">July 22, 1993</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Recordkeeping
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--56" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--56" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--56" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--56" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--56" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ABA Subcommittee on Private Investment Entities
          </td>
                                                              <td headers="view-field-subtopic-table-column--56" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--56" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--56" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-08-10T04:00:00Z" class="datetime">Aug. 10, 2006</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Redemptions
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--57" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--57" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--57" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--57" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--57" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/cai-22e-041124" target="_self">Committee of Annuity Insurers</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--57" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--57" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--57" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2024-04-11T21:14:31Z" class="datetime">April 11, 2024</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--57" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Company Institute
          </td>
                                                              <td headers="view-field-subtopic-table-column--57" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--57" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--57" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2018-06-01T04:00:00Z" class="datetime">June 1, 2018</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--57" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Small Entity Compliance Guide
          </td>
                                                              <td headers="view-field-subtopic-table-column--57" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--57" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--57" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-11-23T05:00:00Z" class="datetime">Nov. 23, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--57" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Company Swing Pricing
          </td>
                                                              <td headers="view-field-subtopic-table-column--57" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--57" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--57" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-10-13T04:00:00Z" class="datetime">Oct. 13, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--57" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Mutual Fund Redemption Fees
          </td>
                                                              <td headers="view-field-subtopic-table-column--57" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--57" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--57" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-09-27T04:00:00Z" class="datetime">Sept. 27, 2006</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Securities Lending
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--58" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--58" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--58" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--58" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--58" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-subtopic-table-column--58" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--58" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--58" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-09-24T01:44:54Z" class="datetime">Sept. 23, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--58" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Company Reporting Modernization Frequently Asked Questions
          </td>
                                                              <td headers="view-field-subtopic-table-column--58" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--58" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--58" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2018-04-27T04:00:00Z" class="datetime">April 27, 2018</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--58" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Nuveen Investment Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--58" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--58" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--58" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-02-14T05:00:00Z" class="datetime">Feb. 14, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--58" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Securities Lending by U.S. Open-End and Closed-End Investment Companies
          </td>
                                                              <td headers="view-field-subtopic-table-column--58" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--58" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--58" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-11-06T05:00:00Z" class="datetime">Nov. 6, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--58" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Securities Lending Roundtable
          </td>
                                                              <td headers="view-field-subtopic-table-column--58" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--58" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--58" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-09-29T08:00:00Z" class="datetime">Sept. 29, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--58" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Adams Express Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--58" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--58" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--58" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1984-09-07T04:00:00Z" class="datetime">Sept. 7, 1984</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Senior Securities
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--59" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--59" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--59" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--59" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--59" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Registered Investment Company Use of Senior Securities - Select Bibliography
          </td>
                                                              <td headers="view-field-subtopic-table-column--59" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--59" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--59" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-06-17T08:00:00Z" class="datetime">June 17, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--59" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Business Development Companies with Wholly-Owned SBIC Subsidiaries-Asset Coverage Requirements
          </td>
                                                              <td headers="view-field-subtopic-table-column--59" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--59" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--59" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-06-27T04:00:00Z" class="datetime">June 27, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--59" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Funds Using Tender Option Bonds (TOB) Financings
          </td>
                                                              <td headers="view-field-subtopic-table-column--59" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--59" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--59" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-03-29T04:00:00Z" class="datetime">March 29, 2012</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Best Execution/Soft Dollars
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--60" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--60" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--60" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--60" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--60" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Regulation of Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--60" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--60" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--60" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-03-01T05:00:00Z" class="datetime">March 1, 2013</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Solicitation/Referral Arrangements
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--61" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--61" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--61" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--61" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--61" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Macquarie Capital (USA) Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--61" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--61" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--61" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-06-01T04:00:00Z" class="datetime">June 1, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--61" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Stifel, Nicolaus & Company, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--61" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--61" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--61" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-12-06T05:00:00Z" class="datetime">Dec. 6, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--61" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>F. Porter Stansberry
          </td>
                                                              <td headers="view-field-subtopic-table-column--61" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--61" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--61" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-09-30T04:00:00Z" class="datetime">Sept. 30, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--61" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>JPMorgan Chase & Co.
          </td>
                                                              <td headers="view-field-subtopic-table-column--61" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--61" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--61" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-05-20T04:00:00Z" class="datetime">May 20, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--61" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>UBS AG
          </td>
                                                              <td headers="view-field-subtopic-table-column--61" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--61" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--61" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-05-20T04:00:00Z" class="datetime">May 20, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--61" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Royal Bank of Canada
          </td>
                                                              <td headers="view-field-subtopic-table-column--61" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--61" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--61" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-12-19T05:00:00Z" class="datetime">Dec. 19, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--61" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Bank of America, N.A.
          </td>
                                                              <td headers="view-field-subtopic-table-column--61" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--61" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--61" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-11-25T05:00:00Z" class="datetime">Nov. 25, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--61" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Citigroup Global Markets Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--61" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--61" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--61" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-08-06T04:00:00Z" class="datetime">Aug. 6, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--61" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Credit Suisse
          </td>
                                                              <td headers="view-field-subtopic-table-column--61" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--61" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--61" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-05-20T04:00:00Z" class="datetime">May 20, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--61" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Stephanie Hibler
          </td>
                                                              <td headers="view-field-subtopic-table-column--61" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--61" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--61" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-01-24T05:00:00Z" class="datetime">Jan. 24, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--61" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>RBS Securities, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--61" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--61" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--61" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-11-26T05:00:00Z" class="datetime">Nov. 26, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--61" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Wells Fargo Bank, N.A.
          </td>
                                                              <td headers="view-field-subtopic-table-column--61" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--61" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--61" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-07-15T04:00:00Z" class="datetime">July 15, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--61" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Regulation of Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--61" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--61" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--61" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-03-01T05:00:00Z" class="datetime">March 1, 2013</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Status - Investment Adviser
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--62" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--62" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--62" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--62" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--62" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="/investment/sifma-110419" target="_blank">Securities Industry and Financial Markets Association</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--62" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--62" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--62" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-11-04T22:40:01Z" class="datetime">Nov. 4, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--62" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>CenturyLink Investment Management Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--62" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--62" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--62" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-12-08T05:00:00Z" class="datetime">Dec. 8, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--62" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Willkie Farr & Gallagher
          </td>
                                                              <td headers="view-field-subtopic-table-column--62" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--62" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--62" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-09-21T04:00:00Z" class="datetime">Sept. 21, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--62" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Regulation of Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--62" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--62" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--62" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-03-01T05:00:00Z" class="datetime">March 1, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--62" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Allianz of America, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--62" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--62" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--62" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-05-25T04:00:00Z" class="datetime">May 25, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--62" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Peter Adamson III
          </td>
                                                              <td headers="view-field-subtopic-table-column--62" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--62" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--62" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-04-03T04:00:00Z" class="datetime">April 3, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--62" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ABA Retirement Funds Program
          </td>
                                                              <td headers="view-field-subtopic-table-column--62" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--62" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--62" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-06-07T04:00:00Z" class="datetime">June 7, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--62" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Accor Services
          </td>
                                                              <td headers="view-field-subtopic-table-column--62" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--62" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--62" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-06-07T04:00:00Z" class="datetime">June 7, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--62" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Cabot Wellington, LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--62" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--62" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--62" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-06-17T04:00:00Z" class="datetime">June 17, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--62" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ABA Subcommittee on Private Investment Entities
          </td>
                                                              <td headers="view-field-subtopic-table-column--62" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--62" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--62" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-08-10T04:00:00Z" class="datetime">Aug. 10, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--62" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Credit Agricole Asset Management Alternative Investments, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--62" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--62" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--62" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2006-08-07T04:00:00Z" class="datetime">Aug. 7, 2006</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--62" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Acacia National Life Insurance Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--62" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--62" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--62" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-12-19T05:00:00Z" class="datetime">Dec. 19, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--62" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Gulf Coast Venture Forum, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--62" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--62" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--62" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2002-08-21T04:00:00Z" class="datetime">Aug. 21, 2002</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--62" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Aid Association for Lutherans/Lutheran Brotherhood
          </td>
                                                              <td headers="view-field-subtopic-table-column--62" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--62" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--62" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-12-21T05:00:00Z" class="datetime">Dec. 21, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--62" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Daughters of Charity National Health System, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--62" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--62" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--62" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-04-03T05:00:00Z" class="datetime">April 3, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--62" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ABN AMRO Bank N.V.
          </td>
                                                              <td headers="view-field-subtopic-table-column--62" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--62" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--62" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-07-01T04:00:00Z" class="datetime">July 1, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--62" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Department of Labor
          </td>
                                                              <td headers="view-field-subtopic-table-column--62" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--62" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--62" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-12-05T05:00:00Z" class="datetime">Dec. 5, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--62" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dana Investment Advisors, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--62" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--62" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--62" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-10-12T04:00:00Z" class="datetime">Oct. 12, 1994</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Status - Investment Company
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--63" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--63" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Inadvertent Investment Companies - 3(b)(2)
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-09-24T01:44:54Z" class="datetime">Sept. 23, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Inadvertent Investment Companies - 6(c)
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-09-24T01:44:54Z" class="datetime">Sept. 23, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Inadvertent Investment Companies - Foreign Banks/Insurance
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-09-24T01:44:54Z" class="datetime">Sept. 23, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Inadvertent Investment Companies - Other
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>    <span></span>

          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Holding Companies and the Application of Rule 3a-2 under the Investment Company Act
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-03-15T04:00:00Z" class="datetime">March 15, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Life Partners Position Holder Trust and Life Partners IRA Partnership, LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-12-02T05:00:00Z" class="datetime">Dec. 2, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Hannon Armstrong Sustainable Infrastructure Capital, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-09-29T04:00:00Z" class="datetime">Sept. 29, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>North American Division of Seventh-Day Adventists
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-10-06T04:00:00Z" class="datetime">Oct. 6, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Royal Dutch Shell plc
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-08-07T04:00:00Z" class="datetime">Aug. 7, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Deregistration of Investment Companies: Applications on Form N-8F
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-04-15T04:00:00Z" class="datetime">April 15, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Funds Maintained by Charitable Organizations
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-12-24T05:00:00Z" class="datetime">Dec. 24, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Erste Abwicklungsanstalt
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2012-10-10T04:00:00Z" class="datetime">Oct. 10, 2012</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Deutsche Bank Microcredit Development Fund, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2011-04-08T04:00:00Z" class="datetime">April 8, 2011</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Emeriti Consortium for Retirement Health Solutions
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-09-03T04:00:00Z" class="datetime">Sept. 3, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Capital Trust, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-02-03T05:00:00Z" class="datetime">Feb. 3, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Emeriti Consortium for Retirement Health Solutions
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2008-06-16T04:00:00Z" class="datetime">June 16, 2008</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Dexia Municipal Agency
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-12-26T05:00:00Z" class="datetime">Dec. 26, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Exelon Corporation
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-09-13T04:00:00Z" class="datetime">Sept. 13, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Cooley Godward & Kronish
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-07-12T04:00:00Z" class="datetime">July 12, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Capital Trust, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-05-24T04:00:00Z" class="datetime">May 24, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Goldman Sachs Asset Management, L.P.
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-03-13T04:00:00Z" class="datetime">March 13, 2007</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Emeriti Consortium for Retirement Health Solutions
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2005-04-07T04:00:00Z" class="datetime">April 7, 2005</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>The Goldman Sachs Group, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2005-03-08T05:00:00Z" class="datetime">March 8, 2005</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>College Retirement Equities Fund - Buchman
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-05-03T04:00:00Z" class="datetime">May 3, 2004</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Cantor Fitzgerald & Company
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-02-17T05:00:00Z" class="datetime">Feb. 17, 2004</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>First Data Corporation
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-01-13T05:00:00Z" class="datetime">Jan. 13, 2004</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Equus Capital Partners L.P.
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2003-11-14T05:00:00Z" class="datetime">Nov. 14, 2003</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>General Motors Investment Management
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2000-02-20T05:00:00Z" class="datetime">Feb. 20, 2000</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Goodwin, Procter & Hoar
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-10-05T04:00:00Z" class="datetime">Oct. 5, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Credit Suisse First Boston
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-09-09T04:00:00Z" class="datetime">Sept. 9, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Daughters of Charity National Health System, Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-04-03T05:00:00Z" class="datetime">April 3, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Davis, Polk & Wardwell
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-04-24T04:00:00Z" class="datetime">April 24, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Goodwin, Procter & Hoar
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1997-02-28T05:00:00Z" class="datetime">Feb. 28, 1997</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Cornish & Carey Commercial Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1996-02-26T05:00:00Z" class="datetime">Feb. 26, 1996</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fiduciary Trust Global Fund
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-08-02T04:00:00Z" class="datetime">Aug. 2, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Goldman Sachs & Co.
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-04-27T04:00:00Z" class="datetime">April 27, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>ESI S.A.
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1995-02-02T05:00:00Z" class="datetime">Feb. 2, 1995</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Global Exempt Certificates of Ownership in NHA MBS Securities Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-12-30T05:00:00Z" class="datetime">Dec. 30, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Caxton Corporation
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-12-28T05:00:00Z" class="datetime">Dec. 28, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Edward H. Fleischman
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-06-30T04:00:00Z" class="datetime">June 30, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Donaldson, Lufkin & Jenrette Securities Corporation
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-05-26T04:00:00Z" class="datetime">May 26, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>College Retirement Equities Fund Real Estate Account
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1993-07-22T04:00:00Z" class="datetime">July 22, 1993</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--63" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Continental of Illinois (Delaware), Ltd.
          </td>
                                                              <td headers="view-field-subtopic-table-column--63" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--63" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--63" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1973-03-14T05:00:00Z" class="datetime">March 14, 1973</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Subadvisers/Multi-Managers
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--64" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--64" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--64" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--64" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--64" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Company Liquidity Risk Management Programs Frequently Asked Questions
          </td>
                                                              <td headers="view-field-subtopic-table-column--64" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--64" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--64" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2018-01-10T05:00:00Z" class="datetime">Jan. 10, 2018</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--64" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Multi-Manager Funds - Aggregate Advisory Fee Rate
          </td>
                                                              <td headers="view-field-subtopic-table-column--64" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--64" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--64" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-02-24T05:00:00Z" class="datetime">Feb. 24, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--64" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Goldman, Sachs & Co.
          </td>
                                                              <td headers="view-field-subtopic-table-column--64" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--64" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--64" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-06-20T04:00:00Z" class="datetime">June 20, 2013</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Subsidiaries
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--65" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--65" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--65" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--65" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--65" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.sec.gov/investment/hercules-capital-12d3-051120" target="_blank">Hercules Capital, Inc., May 11, 2020</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--65" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--65" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--65" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2020-05-11T20:17:18Z" class="datetime">May 11, 2020</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--65" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>AFL-CIO Housing Investment Trust
          </td>
                                                              <td headers="view-field-subtopic-table-column--65" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--65" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--65" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-08-05T04:00:00Z" class="datetime">Aug. 5, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--65" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Adams Diversified Equity Fund Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--65" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--65" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--65" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-04-30T04:00:00Z" class="datetime">April 30, 2015</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Trading Issues - Aggregation/Allocation
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--66" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--66" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--66" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--66" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--66" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Investment Company Institute
          </td>
                                                              <td headers="view-field-subtopic-table-column--66" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--66" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--66" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2017-10-26T04:00:00Z" class="datetime">Oct. 26, 2017</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--66" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Regulation of Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--66" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--66" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--66" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-03-01T05:00:00Z" class="datetime">March 1, 2013</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
</noscript>
<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Trading Issues - Principal/Agency Cross
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--67" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--67" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--67" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--67" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--67" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>J.P. Morgan Securities LLC
          </td>
                                                              <td headers="view-field-subtopic-table-column--67" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--67" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--67" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2016-04-14T04:00:00Z" class="datetime">April 14, 2016</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--67" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Temporary Rule Regarding Principal Trades with Certain Advisory Clients
          </td>
                                                              <td headers="view-field-subtopic-table-column--67" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--67" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--67" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-08-12T04:00:00Z" class="datetime">Aug. 12, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--67" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Regulation of Investment Advisers
          </td>
                                                              <td headers="view-field-subtopic-table-column--67" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--67" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--67" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-03-01T05:00:00Z" class="datetime">March 1, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--67" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Temporary Rule Regarding Principal Trades with Certain Advisory Clients
          </td>
                                                              <td headers="view-field-subtopic-table-column--67" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--67" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--67" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2010-12-28T05:00:00Z" class="datetime">Dec. 28, 2010</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--67" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Temporary Rule Regarding Principal Trades with Certain Advisory Clients (Correction)
          </td>
                                                              <td headers="view-field-subtopic-table-column--67" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--67" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--67" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-12-31T05:00:00Z" class="datetime">Dec. 31, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--67" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Temporary Rule Regarding Principal Trades with Certain Advisory Clients
          </td>
                                                              <td headers="view-field-subtopic-table-column--67" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--67" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--67" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-12-23T05:00:00Z" class="datetime">Dec. 23, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--67" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Temporary Rule Regarding Principal Trades with Certain Advisory Clients
          </td>
                                                              <td headers="view-field-subtopic-table-column--67" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--67" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--67" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2007-09-24T04:00:00Z" class="datetime">Sept. 24, 2007</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
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<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Unit Investment Trusts (UITs)
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--68" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--68" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--68" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--68" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--68" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Unit Investment Trusts - Other
          </td>
                                                              <td headers="view-field-subtopic-table-column--68" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Exemptive Applications
          </td>
                                                              <td headers="view-field-tags-table-column--68" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--68" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2019-09-24T01:44:54Z" class="datetime">Sept. 23, 2019</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--68" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Fixed Income Securities, L.P.
          </td>
                                                              <td headers="view-field-subtopic-table-column--68" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--68" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--68" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2004-04-29T04:00:00Z" class="datetime">April 29, 2004</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--68" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Defined Asset Funds
          </td>
                                                              <td headers="view-field-subtopic-table-column--68" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--68" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--68" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1998-12-23T05:00:00Z" class="datetime">Dec. 23, 1998</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--68" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Global Exempt Certificates of Ownership in NHA MBS Securities Inc.
          </td>
                                                              <td headers="view-field-subtopic-table-column--68" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--68" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--68" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-12-30T05:00:00Z" class="datetime">Dec. 30, 1994</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--68" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Defined Asset Funds - Equity Income Fund - Select Ten Series
          </td>
                                                              <td headers="view-field-subtopic-table-column--68" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--68" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--68" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1993-05-05T04:00:00Z" class="datetime">May 5, 1993</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
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<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Valuation
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--69" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--69" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--69" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--69" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--69" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span><a href="https://www.sec.gov/investment/valuation-faq" target="_blank">Valuation Frequently Asked Questions</a>
          </td>
                                                              <td headers="view-field-subtopic-table-column--69" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--69" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--69" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2021-03-01T16:07:53Z" class="datetime">March 1, 2021</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--69" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Valuation Guidance Frequently Asked Questions
          </td>
                                                              <td headers="view-field-subtopic-table-column--69" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--69" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--69" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2015-04-22T04:00:00Z" class="datetime">April 22, 2015</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--69" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Valuation of Portfolio Securities and other Assets Held by Registered Investment Companies â€” Select Bibliography of the Division of Investment Management
          </td>
                                                              <td headers="view-field-subtopic-table-column--69" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--69" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--69" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2009-03-20T04:00:00Z" class="datetime">March 20, 2009</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--69" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Valuation Issues, Letter to ICI
          </td>
                                                              <td headers="view-field-subtopic-table-column--69" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--69" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--69" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2001-04-30T04:00:00Z" class="datetime">April 30, 2001</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--69" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Valuation Issues, Letter to ICI
          </td>
                                                              <td headers="view-field-subtopic-table-column--69" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / Other
          </td>
                                                              <td headers="view-field-tags-table-column--69" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--69" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1999-12-08T05:00:00Z" class="datetime">Dec. 8, 1999</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--69" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Chief Financial Officer
          </td>
                                                              <td headers="view-field-subtopic-table-column--69" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--69" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--69" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="1994-11-01T05:00:00Z" class="datetime">Nov. 1, 1994</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
  <style> .en-datatable { display: block; } </style>
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<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Volcker Rule
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--70" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--70" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--70" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--70" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--70" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Responses to Frequently Asked Questions Regarding the Commission's Rule under Section 13 of the Bank Holding Company Act (the "Volcker Rule")
          </td>
                                                              <td headers="view-field-subtopic-table-column--70" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / FAQ
          </td>
                                                              <td headers="view-field-tags-table-column--70" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--70" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-06-10T04:00:00Z" class="datetime">June 10, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--70" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>http://www.sec.gov/rules/interim/2014/bhca-2.pdf
          </td>
                                                              <td headers="view-field-subtopic-table-column--70" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--70" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--70" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2014-01-17T05:00:00Z" class="datetime">Jan. 17, 2014</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--70" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>http://www.sec.gov/rules/final/2013/bhca-1.pdf
          </td>
                                                              <td headers="view-field-subtopic-table-column--70" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Rulemaking
          </td>
                                                              <td headers="view-field-tags-table-column--70" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--70" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-12-10T05:00:00Z" class="datetime">Dec. 10, 2013</time>



          </td>
              </tr>
      </tbody>
</table>
<!--/PAGEWATCH-->

<noscript>
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<!--PAGEWATCH-->
<table class="list">
      <h1 class="grouped">
          Wrap Accounts/Separately Managed Account
    	  </h1>
    
        <thead>
      <tr class="header">
        
                                                                          <th id="view-field-url-table-column--71" class="views-field views-field-field-url" scope="col">
            <div>Title</div>
          </th>
        
                                                                          <th id="view-field-subtopic-table-column--71" class="views-field views-field-field-subtopic" scope="col">
            <div>Type</div>
          </th>
        
                                                                          <th id="view-field-tags-table-column--71" class="views-field views-field-field-tags" scope="col">
            <div>Withdrawn</div>
          </th>
        
                                                                          <th id="view-field-publish-date-table-column--71" class="views-field views-field-field-publish-date" scope="col">
            <div>Last Updated</div>
          </th>
              </tr>
    </thead>
    <tbody>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--71" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>Goldman, Sachs & Co.
          </td>
                                                              <td headers="view-field-subtopic-table-column--71" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Staff Guidance / No-Action and Interpretive Letters
          </td>
                                                              <td headers="view-field-tags-table-column--71" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--71" class="views-field views-field-field-publish-date">
            <span class="show-for-small">Last Updated:</span>        <time datetime="2013-06-20T04:00:00Z" class="datetime">June 20, 2013</time>



          </td>
              </tr>
          <tr class="trg-list-page-row">
                                                              <td headers="view-field-url-table-column--71" class="views-field views-field-field-url">
            <span class="show-for-small">Title:</span>SEC Letter to Congress (Congressman Dingell) - Wrap Fees (May 1992)
          </td>
                                                              <td headers="view-field-subtopic-table-column--71" class="views-field views-field-field-subtopic">
            <span class="show-for-small">Type:</span>Resources
          </td>
                                                              <td headers="view-field-tags-table-column--71" class="views-field views-field-field-tags">
            <span class="show-for-small">Withdrawn:</span>
          </td>
                                                              <td headers="view-field-publish-date-table-column--71" class="views-field views-field-field-publish-date">
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