• 2017-03 - Holding Companies and the Application of Rule 3a-2 under the Investment Company Act
• 2017-02 - Robo-Advisers
• 2017-01 - Inadvertent Custody: Advisory Contract Versus Custodial Contract Authority
• 2016-06 - Mutual Fund Fee Structures; see also Frequently Asked Questions on IM Guidance Update 2016-06 (Mutual Fund Fee Structures)
• 2016-05 - Staff Guidance Concerning Investment Adviser Reliance on Predecessor Registrations
• 2016-04 - Business Continuity Planning for Registered Investment Companies
• 2016-03 - Fast Act Changes Affecting Investment Advisers to Small Business Investment Companies
• 2016-02 - Fund Disclosure Reflecting Risks Related to Current Market Conditions
• 2016-01 - Mutual Fund Distribution and Sub-Accounting Fees
• 2015-04 - Employees' Securities Companies and Escheatment
• 2015-03 - Code of Ethics Guidance for Investment Advisers
• 2015-02 - Cybersecurity Guidance
• 2015-01 - Guidance Regarding Acceptance of Gifts or Entertainment by Fund Advisory Personnel
• 2014-13 - Guidance Regarding Key Employee Trusts Under the Family Office Rule
• 2014-12 - Guidance Regarding Business Development Companies-Transactions with Certain Second-Tier Affiliates
• 2014-11 - Guidance Regarding Investment Company Consolidation
• 2014-10 - Guidance Regarding Mixed and Shared Funding Orders
• 2014-09 - Business Development Companies with Wholly-Owned SBIC Subsidiaries-Asset Coverage Requirements
• 2014-08 - Guidance Regarding Mutual Fund Enhanced Disclosure
• 2014-07 - Private Funds and the Application of the Custody Rule to Special Purpose Vehicles and Escrows
• 2014-06 - Series Investment Companies:  Affiliated Transactions
• 2014-05 - Deregistration of Investment Companies: Applications On Form N-8F
• 2014-04 - Guidance on the Testimonial Rule and Social Media
• 2014-03 - Multi-Manager Funds – Aggregate Advisory Fee Rate
• 2014-02 - Unbundling of Proxy Proposals-Investment Company Charter Amendments
• 2014-01 - Risk Management in Changing Fixed Income Market Conditions
• 2013-14 - Investment Funds Maintained by Charitable Organizations
• 2013-13 - Guidance on the Exemption for Advisers to Venture Capital Funds
• 2013-12 - Fund Names Suggesting Protection From Loss
• 2013-11 - Shareholder Notices of the Sources of Fund Distributions - Electronic Delivery
• 2013-10 - Status of Certain Private Fund Investors as Qualified Clients
• 2013-09 - Fund Advisers Serving "At Cost" or For No Compensation
• 2013-08 - Form 13F Confidential Treatment Requests Based on a Claim of Ongoing Acquisition/Disposition Program
• 2013-07 - Business Development Companies—Separate Financial Statements or Summarized Financial Information of Certain Subsidiaries
• 2013-06 - Merger of Two Exchange-Traded Funds
• 2013-05 - Disclosure and Compliance Matters for Investment Company Registrants That Invest in Commodity Interests
• 2013-04 - Privately Offered Securities under the Investment Advisers Act Custody Rule
• 2013-03 - Counterparty Risk Management Practices With Respect to Tri-Party Repurchase Agreements
• 2013-02 - Compliance With Exemptive Orders
• 2013-01 - Filing Requirements for Certain Electronic Communications

Issues of Interest - Investment Advisers Act

• Investment Advisers Registered with the Commodity Futures Trading Commission ("CFTC") that Advise Private Funds (November 15, 2012)
• Advisory Contracts - Consent (June 15, 2012)
• Advisory Contracts - Transition for Newly Registered and Registering Advisers (March 30, 2012)
• Persons Who Provide Advice Solely Regarding Matters Not Concerning Securities (March 27, 2012)

Issues of Interest - Investment Company Act

• After-Tax Return (February 22, 2013)
• Joint Transactions — Portfolio Holdings of Companies Electing Status as Business Development Companies ("BDCs") (November 27, 2012)
• Affiliated Funds of Funds — Section 12(d)(1) of the Investment Company Act (October 19, 2012)
• Advisory Contracts — Combined Investment Advisory and Service Fees (October 5, 2012)
• Funds Using Tender Option Bond (TOB) Financings (March 29, 2012)
• Business Development Companies — Auditor Verification of Securities Owned (March 12, 2012)
• Rule 18f-3 under the Investment Company Act — Removal of a Class (September 2, 2010)
• Rules 436 and 482 under the Securities Act (August 10, 2010)