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Investment Management:
Staff Guidance and Studies
- August 21, 2007 Letter to Investment Company Institute re: Funds Use of Rule 22c-2 Information for Marketing Purposes
- June 28, 2007 Letter to Fidelity Investments, Massachusetts Financial Services Company and OppenheimerFunds, Inc. re: Implementation of FASB Interpretation No. 48
- Staff Legal Bulletins
- Investment Management Staff No-Action Letters
- Staff Responses to Questions Regarding Disclosure of Fund of Funds Expenses (May 23, 2007)
- December 22, 2006 Letter to ICI re: Implementation of FASB Interpretation No. 48
- December 14, 2006 Letter to Babson Capital Management LLC re: Interpretive Guidance on Exchange Act Rule 16b-3
- Staff Letters Regarding Auditing Standards for Financial Statements of Insurance Company Depositors of Variable Insurance Products (March 8, 2005)
- Staff Responses to Questions About Amended Custody Rule (updated January 10, 2005)
- October 17, 2003 Letter to the ICI re: Disclosure by Funds Investing in Government Sponsored Enterprises
- Implications of the Growth of Hedge Funds (September 2003)
- Questions and Answers Regarding the Mutual Fund Customer Identification Program Rule (31 CFR 103.131) (August 11, 2003)
- Staff Responses to Questions about Regulation S-P (updated January 23, 2003)
- November 13, 2002 Letter to ICI re: Delayed Exchange of Fund Shares
- Frequently Asked Questions about Rule 35d-1 (Investment Company Names) (December 4, 2001)
- Frequently Asked Questions About Mutual Fund After-Tax Return Requirements (January 14, 2002)
- 2001 Mutual Fund Fee Report (January 10, 2001)
- June 2001 Letter Regarding Retail Exception to Section 11
- April 2001 Letter to the ICI Regarding Valuation Issues
- December 1999 Letter to the ICI Regarding Valuation Issues
- October 1998 Letter to the ICI Regarding Form N-1A and Rule 498
- Commission Notice on Section 13(f) Confidential Treatment Requests (June 17, 1998)
- May 1998 Letter to the ICI Regarding Form N-1A and Rule 498
- 1995 PUHCA Study (June 1995)
- Protecting Investors: A Half Century of Investment Company Regulation (May 1992)
http://www.sec.gov/divisions/investment/guidance.shtml
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