Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products

oct 17, 2019 | 16:14 EST

Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products

oct 17, 2019 | 16:14 EST

FAQ

oct 17, 2019 | 15:10 EST

Improving Principal Risks Disclosure

Sep 09, 2019 | 14:30 EST

Mortgages/Real Estate/REITs

Aug 15, 2019 | 14:41 EST

No-Action relief under Section 7 of the Investment Company Act of 1940

Aug 12, 2019 | 17:20 EST

Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products

Aug 8, 2019 | 17:45 EST

No-Action relief under Sections 5(b) and 6(b) of the Securities Act of 1933 and Rule 486(b) thereunder

Aug 6, 2019 | 17:20 EST

No-Action relief under Sections 5(b) and 6(b) of the Securities Act of 1933 and Rule 486(b) thereunder

Aug 6, 2019 | 17:00 EST

No-Action relief under Section 15(a) of the Investment Company Act of 1940

Jul 9, 2019 | 17:45 EST

Investment Company Reporting Modernization Frequently Asked Questions -Updates

Jun 21, 2019 | 17:00 EST

No-Action relief under Sections 5(b) and 6(b) of the Securities Act of 1933 and Rule 486(b) thereunder

Apr 26, 2019 | 16:00 EST

No-action relief under Section 15(a) of the Investment Company Act of 1940

Apr 15, 2019 | 15:40 EST

No-Action relief under Sections 5(b) and 6(b) of the Securities Act of 1933 and Rule 486(b) thereunder

Apr 8, 2019 | 17:40 EST

Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products

Mar 18, 2019 | 16:03 EST

Engaging on Non-DVP Custodial Practices and Digital Assets

Mar 12, 2019 | 17:35 EST

Money Market Fund Statistics: December, 2018

Feb 5, 2019 | 12:45 EST

Information Update: Website Updates to Investment Company Forms

Feb 1, 2019 | 16:45 EST

No-Action relief under Sections 5(b) and 6(b) of the Securities Act of 1933 and Rule 486(b) thereunder

Jan 30, 2019 | 17:25 EST

Investment Company Reporting Modernization Frequently Asked Questions -Updates

Nov 14, 2018 | 15:30 EST

No-Action relief under Section 203(a) of the Investment Advisers Act of 1940

Nov 7, 2018 | 14:30 EST

No-Action relief under Sections 5(b) and 6(b) of the Securities Act of 1933 and Rule 486(b) thereunder

Oct 30, 2018 | 16:30 EST

Keynote Address - ICI Securities Law Developments Conference by Dalia Blass, Director, Division of Investment Management, in Washington, DC

Oct 29, 2018 | 11:25 EST

Money Market Fund Statistics: September, 2018

Oct 24, 2018 | 10:45 EST

Remarks at the IDC - 2018 Fund Directors Conference by Dalia Blass, Director, Division of Investment Management, in Chicago, Illinois

Oct 16, 2018 | 15:35 EST

No-Action relief under Sections 10(f), 17(a) or 17(e) of the Investment Company Act of 1940 and Rules 10f-3, 17a-7 and 17e-1 thereunder

Oct 12, 2018 | 16:03 EST

No-Action relief under Sections 5(b) and 6(b) of the Securities Act of 1933 and Rule 486(b) thereunder

Oct 4, 2018 | 16:40 EST

Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products

Oct 01, 2018 | 09:42 EST

Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products

Oct 01, 2018 | 09:42 EST

Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products

Oct 01, 2018 | 09:42 EST

Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products

Oct 01, 2018 | 09:42 EST

Money Market Fund Statistics: August, 2018

Sep 26, 2018 | 10:02 EST

Current Report Open-End Management Investment Company Liquidity

Sep 18, 2018 | 17:30 EST

Monthly Portfolio Investments Report

Sep 14, 2018 | 16:45 EST

No-Action relief under Sections 5(b) and 6(b) of the Securities Act of 1933 and Rule 486(b) thereunder

Sep 14, 2018 | 10:09 EST

Information Update: Statement Regarding Staff Proxy Advisory Letters

Sep 13, 2018 | 10:20 EST

IM Announcement: Jennifer McHugh Named Acting Associate Director, Disclosure Review and Accounting Office

Sep 13, 2018 | 10:20 EST

No-Action relief with respect to certain BDC and investment adviser affiliated transactions in connection with the risk retention rules mandated by the Dodd-Frank Act

Sep 10, 2018 | 15:10 EST

Money Market Fund Statistics: July, 2018

Aug 17, 2018 | 11:40 EST

No-Action Relief Under Section 206(4) and Rule 206(4)-3)

Aug 8, 2018 | 12:17 EST

Asia Pacific Fund-Omission of Shareholder Proposal Submitted by Matisse Capital Management, L.P.

Jul 30, 2018 | 14:15 EST

Money Market Fund Statistics: June, 2018

Jul 20, 2018 | 15:57 EST

Money Market Fund Statistics: May, 2018

Jul 10, 2018 | 12:30 EST

Fund Disclosure at a Glance

Jul 6, 2018 | 10:00 EST

Information Update No. 2018-01: Updates to Custody Rule Frequently Asked Questions

Jun 8, 2018 | 13:20 EST

No-Action relief under Section 22(e) of the Investment Company Act of 1940

Jun 1, 2018 | 13:20 EST

Staff Letter: Delaware Enhanced Global Dividend and Income Fund-Omission of Shareholder Proposal Submitted by Saba Capital Management L.P.

May 14, 2018 | 14:40 EST

Staff Letter: South State Bank

May 09, 2018 | 13:22 EST

Remarks at the PLI Investment Management Institute 2018 by Dalia Blass, Director, Division of Investment Management, in New York, NY

Apr 30, 2018 | 12:10 EST

Investment Company Reporting Modernization FAQs updates

Apr 27, 2018 | 10:15 EST

Investment Company Reporting Modernization FAQs updates

Apr 10, 2018 | 15:30 EST

Remarks to ICI 2018 Mutual Funds and Investment Management Conference by Dalia Blass, Director, Division of Investment Management, in San Antonio, TX

Mar 19, 2018 | 14:02 EST

Expanded Use of Draft Registration Statement Review Procedures for Business Development Companies

Mar 16, 2018 | 16:45 EST

Staff Letter: Ironwood Multi-Strategy Fund LLC and Ironwood Institutional Multi-Strategy Fund LLC

Apr 20, 2017 | 16:15 EST

Staff Letter: Guggenheim Credit Allocation Fund

Apr 7, 2017 | 16:58 EST

Money Market Fund Statistics, February 2017

Mar 16, 2017 | 17:31 EST

Guidance Update No. 2017-03: Holding Companies and the Application of Rule 3a-2 under the Investment Company Act

Mar 15, 2017 | 11:24 EST

No-Action relief under Section 12(d)(1)(E) of the Investment Company Act of 1940 - Foreign Fund of Funds

Mar 8, 2017 | 13:00 EST

Guidance Update No. 2017-02: Robo-Advisers

Feb 23, 2017 | 11:30 EST

Money Market Fund Statistics, January 2017

Feb 21, 2017 | 14:31 EST

FAQ on Mutual Fund Fee Structures

Feb 15, 2017 | 15:20 EST

Private Funds Statistics, Second Quarter, 2016

Feb 03, 2017 | 10:25 EST

Staff Letter: Invesco Senior Income Trust, et al.

Jan 27, 2017 | 15:00 EST

Staff Letter: Dechert

Jan 26, 2017 | 15:10 EST

Money Market Fund Statistics, December 2016

Jan 19, 2017 | 14:57 EST

Information Update No. 2017-01: Mutual Fund Fee Structures

Jan 18, 2017 | 17:00 EST

Interpretive letter under Section 22(d) of the Investment Company Act of 1940 - Fund Shares Distribution

Jan 11, 2017 | 13:35 EST

No-Action Relief under Section 15(a) of the Investment Company Act

Dec 21, 2016 | 12:00 EST

Staff Letter: Russell Investment Management, LLC

Dec 16, 2016 | 11:09 EST

Money Market Fund Statistics, November 2016

Dec 16, 2016 | 12:05 EST

Guidance Update No. 2016-06: Mutual Fund Fee Structures

Dec 15, 2016 | 16:45 EST

No-Action Relief permitting a liquidating trust formed in connection with bankruptcy to rely on the exemption from 1940 Act registration in sections 7(a) and 7(b)

Dec 15, 2016 | 15:10 EST

Staff No-Action Letter: Great-West Life & Annuity Insurance Company (authorization under Rule 3-13 of Regulation S-X)

Nov 25, 2016 | 10:20 EST

Money Market Fund Statistics, October 2016

Nov 22, 2016 | 10:26 EST

Remarks to the ALI CLE 2016 Conference on Life Insurance Products

Nov 09, 2016 | 09:50 EST

Money Market Fund Statistics, September 2016

Oct 25, 2016 | 16:20 EST

Private Fund Statistics (2016 Q1)

Oct 21, 2016 | 10:10 EST

Division of Corporation Finance Announcement: "Tandy" Representations No Longer Needed in Filing Reviews

Oct 05, 2016 | 12:50 EST

Staff Letter: (No-Action relief extending relief concerning the performance of certain engagements under rule 206(4)-2 by auditors in light of the PCAOB's Temporary Rule providing for its inspection of auditors related to audits of brokers or dealers)

Oct 04, 2016 | 15:39 EST

Staff Letter: Hannon Armstrong Sustainable Infrastructure Capital, Inc.

Sep 30, 2016 | 15:42 EST

Staff Letter: Thrivent Financial for Lutherans and Thrivent Asset Management, LLC

Sep 29, 2016 | 13:00 EST

Staff Letter (Neuberger Berman Investment Advisers LLC, et al.)

Sep 28, 2016 | 17:35 EST

Staff Letter (No-Action relief under Rule 486(b) under the Securities Act of 1933)

Sep 23, 2016 | 13:50 EST

Money Market Fund Statistics, August 2016

Sep 22, 2016 | 14:50 EST

Staff Letter (No-Action relief under Section 17(f)(1) of the Investment Company Act of 1940)

Sep 20, 2016 | 18:00 EST

Staff Letter Regarding Rule 206(3)-3T under the Investment Advisers Act of 1940

Aug 22, 2016 | 10:00 EST

Money Market Fund Statistics, July 2016

Aug 19, 2016 | 14:11 EST

AFL-CIO Housing Investment Trust No-Action Letter

Aug 8, 2016 | 11:25 EST

Franklin Limited Duration Income Trust

Aug 2, 2016 | 11:45 EST

Private Funds Statistics, Fourth Quarter, 2015

Jul 27, 2016 | 10:55 EST

Money Market Fund Statistics, June 2016

Jul 27, 2016 | 10:55 EST

Deutsche Multi-Market Income Trust (Omission of Shareholder Proposal)

Jul 6, 2016 | 12:00 EST

Deutsche Strategic Income Trust (Omission of Shareholder Proposal)

Jul 6, 2016 | 12:00 EST

Guidance Update: Business Continuity Planning for Registered Investment Companies

Jun 28, 2016 | 16:45 EST

Money Market Fund Statistics, May 2016

Jun 22, 2016 | 10:40 EST

Fidelity Management & Research Company et al.; Regulation S-X – Rule 2-01

Jun 21, 2016 | 13:00 EST

Investment Adviser Association No-Action Letter; Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-2

Apr 26, 2016 | 11:30 EST

J.P. Morgan Securities LLC No-Action Letter; Principal Transaction and Investment Advisers Act of 1940 – Section 206(3))

Apr 15, 2016 | 11:40 EST

SPDR S&P Dividend ETF No-Action Letter; Index-Based Funds and Sections 12(d)(2) and 12(d)(3) of the Investment Company Act of 1940

Mar 30, 2016 | 11:40 EST

Guidance Update: Fund Disclosure Reflecting Risks Related to Current Market Conditions

Mar 21, 2016 | 11:40 EST

Remarks to ICI 2016 Mutual Funds and Investment Management Conference by Dave Grim, Director, Division of Investment Management, in Orlando, Florida

Mar 14, 2016 | 11:25 EST

Guidance Update: Fund Disclosure Reflecting Risks Related to Current Market Conditions

Mar 9, 2016 | 17:15 EST

New: Capital Treatment of Banking Entity Investments in TruPS CDOs

Mar 4, 2016 | 11:00 EST

Remarks to the PLI Investment Management Institute – 2016 by Dave Grim, Director, Division of Investment Management

Mar 3, 2016 | 17:55 EST

BlackRock Health Sciences Trust

Feb 25, 2016 | 15:15 EST

Private Funds Statistics, Third Quarter, 2015

Feb 24, 2016 | 14:50 EST

Money Market Fund Statistics, January 2016

Feb 23, 2016 | 12:15 EST

http://www.sec.gov/divisions/investment/private-funds-statistics.shtml

Jan 13, 2016 | 15:30 EST

Fiduciary/Claymore MLP Opportunity Fund

Jan 07, 2016 | 17:15 EST

Guidance Update: Mutual Fund Distribution and Sub-accounting Fees

Jan 6, 2016 | 14:15 EST

Chicago Mercantile Exchange

Dec 29, 2015 | 13:45 EST

ICE Clear Credit LLC

Dec 29, 2015 | 13:45 EST

LCH.Clearnet Limited and LCH.Clearnet LLC

Dec 29, 2015 | 13:45 EST

Remarks to the ICI 2015 Securities Law Development Conference by Dave Grim, Director, Division of Investment Management

Dec 16, 2015 | 14:30 EST

Money Market Fund Statistics, October 2015

Dec 1, 2015 | 17:45 EST

Termination of Market-Making Activity: Treatment of Residual Positions; Applicability of the Restrictions in Section 13(f) of the BHC Act

Nov 20, 2015 | 11:00 EST

Investment Company Institute, et al

Nov 16, 2015 | 17:45 EST

Remarks to 2015 IAA Compliance Conference by Dave Grim, Acting Director, Division of Investment Management

Nov 2, 2015 | 11:45 EST

Guidance Update: Employees’ Securities Companies and Escheatment

Oct 29, 2015 | 15:30 EST

Money Market Fund Statistics, September 2015

Oct 28, 2015 | 13:30 EST

http://www.sec.gov/divisions/investment/private-funds-statistics.shtml

Oct 16, 2015 | 09:30 EST

North American Division of Seventh-Day Adventists

Oct 6, 2015 | 10:00 EST

F. Porter Stansberry

Sep 30, 2015 | 10:00 EST

Money Market Fund Statistics, August 2015

Sep 24, 2015 | 12:00 EST

Willkie Farr & Gallagher

Sep 21, 2015 | 10:00 EST

Money Market Fund Statistics, July 2015

Aug 21, 2015 | 15:20 EST

Royal Dutch Shell plc

Aug 14, 2015 | 10:03 EST

Fidelity Freedom 2020 Fund, Fidelity Freedom 2025 Fund, and Fidelity Advisor Municipal Income Fund

Aug 12, 2015 | 12:00 EST

Money Market Fund Statistics, June 2015

Jul 29, 2015 | 16:00 EST

Carey Credit Income Fund

Jul 16, 2015 | 14:40 EST

Jackson National Life

Jul 09, 2015 | 15:15 EST

Northern Lights Fund Trust

Jun 30, 2015 | 14:00 EST

SPDR Series Trust, et al.

Jun 30, 2015 | 14:00 EST

Personal Securities Transactions Reports by Registered Investment Advisers: Securities Held in Accounts Over Which Reporting Persons Had No Influence or Control

Jun 26, 2015 | 13:00 EST

Money Market Fund Statistics, May 2015

Jun 26, 2015 | 12:00 EST

Compliance Date for the Ban on Third-Party Solicitation

Jun 25, 2015 | 14:00 EST

Compliance Date for the Ban on Third-Party Solicitation

Jun 25, 2015 | 14:00 EST

Fidelity Inflation-Protected Bond Fund (Omission of Shareholder Proposal)

May 11, 2015 | 17:20 EST

Adams Diversified Equity Fund Inc., May 5, 2015

May 5, 2015 | 16:00 EST

Tudor Employee Investment Fund LLC and Tudor Investment Corporation, April 28, 2015

Apr 29, 2015 | 09:18 EST

Money Market Fund Statistics, March 2015

Apr 23, 2015 | 18:00 EST

FAQ: 2014 Money Market Fund Reform Frequently Asked Questions

Apr 22, 2015 | 13:45 EST

FAQ: Valuation Guidance Frequently Asked Questions

Apr 22, 2015 | 13:45 EST

Opportunity Partners L.P. Shareholder Proposal (Clough Global Equity Fund)

Apr 17, 2015 | 17:40 EST

Harris & Harris Group, Inc.

Apr 14, 2015 | 12:00 EST

Franklin Templeton Investments

Apr 3, 2015 | 16:20 EST

Tom DeWard Shareholder Proposal (LMP Real Estate Income Fund, Inc.)

Mar 25, 2015 | 15:15 EST

16th Amendment Advisors LLC

Mar 23, 2015 | 14:10 EST

Money Market Fund Statistics, January 2015

Mar 11, 2015 | 12:55 EST

Remarks to 2015 IAA Compliance Conference by Dave Grim, Acting Director, Division of Investment Management

Mar 9, 2015 | 10:30 EST

Remarks to PLI Investment Management Institute 2015 by Dave Grim, Acting Director, Division of Investment Management

Mar 9, 2015 | 10:30 EST

SOTUS Covered Fund Exemption: Marketing Restriction

Feb 27, 2015 | 14:00 EST

Acceptance of Gifts or Entertainment by Fund Advisory Personnel — Section 17(e)(1) of the Investment Company Act

Feb 23, 2015 | 10:00 EST

Karpus Management, Inc.

Feb 20, 2015 | 16:14 EST

Money Market Fund Statistics

Feb 19, 2015 | 17:20 EST

American Retirement Association

Feb 19, 2015 | 17:20 EST

Key Employee Trusts Under the Family Office Rule

Dec 22, 2014 | 14:00 EST

Royal Bank of Canada

Dec 22, 2014 | 12:46 EST

LCH.Clearnet Limited and LCH.Clearnet LLC

Dec 19, 2014 | 17:00 EST

ICE Clear Credit LLC

Dec 19, 2014 | 17:00 EST

Chicago Mercantile Exchange

Dec 19, 2014 | 17:00 EST

New Mountain Finance Corporation

Dec 19, 2014 | 17:00 EST

Remarks to the ICI 2014 Securities Law Developments Conference by Norm Champ, Director, Division of Investment Management, on December 10, 2014

Dec 10, 2014 | 16:45 EST

Updates to Form PF Frequently Asked Questions

Dec 05, 2014 | 15:00 EST

BDCs-Transactions with Certain Second-Tier Affiliates

Dec 05, 2014 | 10:00 EST

No-action relief under rule 206-4(3) under the Investment Advisers Act of 1940

Dec 3, 2014 | 09:45 EST

Remarks to the ALI CLE 2014 Conference on Life Insurance Company Products by Norm Champ, Director, Division of Investment Management, on November 13, 2014

Nov 14, 2014 | 10:00 EST

Rule 486(b) under the Securities Act of 1933

Nov 14, 2014 | 09:45 EST

Exclusion of Shareholder Proposal under Rule 14a-8

Nov 10, 2014 | 11:45 EST

Guidance Regarding Mutual Fund Enhanced Disclosure

Oct 31, 2014 | 15:45 EST

Remarks to the SIFMA Complex Products Forum by Norm Champ, Director, Division of Investment Management, on October 29, 2014

Oct 29, 2014 | 12:00 EST

Guidance Mixed and Shared Funding Orders

Oct 24, 2014 | 12:00 EST

No-action relief under rule 486(b) under the Securities Act of 1933

Oct 2, 2014 | 12:00 EST

Remarks to the Practising Law Institute, Hedge Fund Management Seminar 2014, on September 11, 2014

Sep 11, 2014 | 12:00 EST

No-action request under Section 205(a)(1) of the Investment Advisers Act of 1940

Aug 20, 2014 | 10:58 EST

Commission Proposes Two-Year Extension of Sunset Date for Advisers Act Rule 206(3)-3T

Aug 18, 2014 | 09:39 EST

No-action relief under section 206(4) of the Investment Advisers Act

Aug 8, 2014 | 12:30 EST

SEC Adopts Money Market Fund Reform Rules

Jul 28, 2014 | 12:30 EST

SEC Proposes Removal of Certain References to Credit Ratings in the Money Market Fund Rule

Jul 28, 2014 | 12:30 EST

Remarks to the 2014 Insured Retirement Institute Government, Legal and Regulatory Conference by Norm Champ, Director, Division of Investment Management, on July 1, 2014

Jul 10, 2014 | 14:20 EST

Remarks to the Practising Law Institute, Private Equity Forum

Jul 7, 2014 | 19:00 EST

Staff Legal Bulletin: Proxy Voting Responsibilities of Investment Advisers

Jun 30, 2014 | 19:00 EST

Business Development Companies with Wholly-Owned SBIC Subsidiaries-Asset Coverage Requirements

Jun 27, 2014 | 16:00 EST

Guidance Regarding Mutual Fund Enhanced Disclosure

Jun 26, 2014 | 16:30 EST

Private Funds and the Application of the Custody Rule to Special Purpose Vehicles and Escrows

Jun 26, 2014 | 16:30 EST

Updates to Frequently Asked Questions About Form 13F

Jun 25, 2014 | 18:25 EST

Guidance on the Commission’s final rule implementing section 13 of the Bank Holding Company Act of 1956 (“BHC Act”), commonly referred to as the “Volcker Rule.”

Jun 10, 2014 | 14:00 EST

Series Investment Companies: Affiliated Transactions

Jun 6, 2014 | 17:00 EST

No-action relief under section 206(4) of the Investment Advisers Act

Jun 2, 2014 | 16:32 EST

Exemptive Applications Review: Comparison Documents

May 28, 2014 | 11:00 EST

No-action relief under sections 5(b) and 6(a) of the Securities Act of 1933

Apr 23, 2014 | 15:10 EST

Deregistration of Investment Companies: Applications on Form N-8F

Apr 18, 2014 | 16:10 EST

Exclusion of Shareholder Proposal Pursuant to Rule 14a-8

Apr 15, 2014 | 12:00 EST

No-action relief under section 7(a) of the Investment Company Act

Apr 8, 2014 | 12:00 EST

2014 5th Annual DCIIA Public Policy Forum

Apr 3, 2014 | 12:00 EST

2014 Mutual Funds and Investment Management Conference

Mar 17, 2014 | 12:00 EST

2013 Division of Investment Management Year in Review

Mar 11, 2014 | 12:00 EST

No-action relief under Section 15(a) of the Investment Company Act

Mar 7, 2014 | 18:10 EST

No-action relief under Section 15(a) of the Investment Company Act

Mar 6, 2014 | 12:00 EST

Multi-Manager Funds – Aggregate Advisory Fee Rate

Feb 25, 2014 | 17:20 EST

Omission of Shareholder Proposal under Rule 14a-8

Feb 24, 2014 | 17:40 EST

Unbundling of Proxy Proposals—Investment Company Charter Amendments

Feb 24, 2014 | 09:56 EST

No-action relief under 203(a) of the Investment Advisors Act of 1940

Feb 18, 2014 | 17:40 EST

Securities Lending – Section 17(e)(1) and Affiliated Lending Agents

Feb 18, 2014 | 17:40 EST

Omission of Shareholder Proposal under Rule 14a-8

Feb 18, 2014 | 16:55 EST

Custody of gold bullion and other precious metals under section 17(f)

Feb 14, 2014 | 17:44 EST

Updates to Form PF Frequently Asked Questions

Feb 12, 2014 | 15:40 EST

Managed Funds Association

Feb 7, 2014 | 17:55 EST

Ms. Stephanie Hibler

Jan 27, 2014 | 14:20 EST

Risk Management in Changing Fixed Income Market Conditions

Jan 15, 2014 | 11:50 EST

The Mexico Fund, Inc.

Jan 2, 2014 | 16:10 EST

Chicago Mercantile Exchange

Dec 27, 2013 | 14:00 EST

ICE Clear Credit LLC

Dec 27, 2013 | 14:00 EST

LCH.Clearnet Limited and LCH.Clearnet LLC

Dec 27, 2013 | 14:00 EST

Investment Funds Maintained by Charitable Organizations

Dec 24, 2013 | 15:35 EST

Guidance on the Exemption for Advisers to Venture Capital Funds

Dec 3, 2013 | 15:05 EST

Payment of Cash Solicitation Fees under Rule 206(4)-3

Dec 3, 2013 | 15:00 EST

No-action relief under section 5 of the Securities Act of 1933

Dec 3, 2013 | 14:56 EST

Remarks to the ALI CLE 2013 Conference on Life Insurance Company Products

Dec 3, 2013 | 14:48 EST

Fund Names Suggesting Protection From Loss

Dec 3, 2013 | 14:40 EST

Fund Advisers Serving “At Cost” or For No Compensation

Oct 10, 2013 | 16:15 EST

Updates to FAQs About Form 13F

Oct 10, 2013 | 16:15 EST

Acceleration of Registration Statements if There is A Change in the SEC’s Operating Status

Oct 10, 2013 | 16:15 EST

BDC Share Repurchases and Restricted Stock Plans

Oct 04, 2013 | 18:30 EST

Form 13F Confidential Treatment Requests Based on a Claim of Ongoing Acquisition/Disposition Program;

Oct 02, 2013 | 11:00 EST

Business Development Companies—Separate Financial Statements or Summarized Financial Information of Certain Subsidiaries;

Sep 27, 2013 | 17:35 EST

Merger of Two Exchange-Traded Funds

Sep 24, 2013 | 17:45 EST

Guidance for Registered Investment Companies that Invest in Commodity Interests

Aug 13, 2013 | 14:15 EST

Updates to Form PF Frequently Asked Questions

Aug 9, 2013 | 16:00 EST

Exchange-Traded Funds Using Affiliated Index Providers

Aug 9, 2013 | 16:00 EST

Updates to Frequently Asked Questions about Form 13F

Aug 5, 2013 | 12:21 EST

Privately Offered Securities Under the Investment Advisers Act Custody Rule

Aug 1, 2013 | 17:40 EST

Payment of Cash Solicitation Fees under Rule 206(4)-3

Jul 18, 2013 | 15:45 EST

Counterparty Risk Management Practices With Respect to Tri-Party Repurchase Agreements

Jul 17, 2013 | 16:45 EST

BlackRock Multi-Sector Income Trust (July 8, 2013)

Jul 16, 2013 | 13:45 EST

Morgan Stanley Mortgage Securities Trust (July 8, 2013)

Jul 16, 2013 | 13:45 EST

The SEC’s Division of Investment Management issued seven no-action letters to approximately 30 named closed-end funds.

Jul 12, 2013 | 14:15 EST

Goldman, Sachs and Co. (June 20, 2013)

Jun 25, 2013 | 12:45 EST

The SEC’s Division of Investment Management launched a new web page on the SEC website devoted to money market funds.

Jun 18, 2013 | 14:45 EST

Form 13F – Filing of New Online Form with XML Information Table to Begin May 20

Jun 12, 2013 | 15:40 EST

Request for Consideration of the Steve Tamari Shareholder Proposal (College Retirement Equities Fund)

May 30, 2013 | 14:30 EST

Sandra M. Fox Shareholder Proposal (College Retirement Equities Fund)

May 30, 2013 | 14:30 EST

Form 13F – Filing of New Online Form with XML Information Table to Begin May 20

May 17, 2013 | 17:00 EST

Steve Tamari Shareholder Proposal (College Retirement Equities Fund)

May 10, 2013 | 17:10 EST

Compliance with Exemptive Orders

May 10, 2013 | 11:15 EST

Updates to Frequently Asked Questions About Form 13f

May 10, 2013 | 11:00 EST

Improvements to Form 13f

Apr 24, 2013 | 14:00 EST

Final Rules and Guidelines to Require Certain Regulated Entities to Establish Programs to Address Risks of Identity Theft

Apr 10, 2013 | 12:00 EST

Copley Fund No-Action Letter

Apr 5, 2013 | 13:15 EST

Filing Requirements for Certain Electronic Communications

Mar 15, 2013 | 11:30 EST