Division of Investment Management Archives

SEC Issues Marketing Rule Relief in Response to IAA Advocacy

In response to IAA advocacy, the SEC Division of Investment Management staff issued new FAQs that address net performance questions under the Marketing Rule.

March 20, 2025

Tags: Division of Investment Management, Marketing Rule

SEC Finalizes T+1 Rules, Proposes Massive Custody Rule Changes

The SEC has finalized its rules to shorten the standard settlement cycle for most securities transactions and proposed amendments to the custody rule and related recordkeeping and Form ADV changes.

February 16, 2023

Tags: Custody, Division of Investment Management, Recordkeeping, Securities Settlement Cycle, Trading

SEC Withdraws, Modifies No-Action Letters RE: Advertising, Cash Solicitation

As expected, the SEC is withdrawing certain staff no-action letters relating to the current Advisers Act Advertising and Cash Solicitation Rules.

November 12, 2021

Tags: Advertising Rule, Division of Investment Management, Marketing Rule, Solicitation Rule

SEC Withdraws Certain COVID Relief for Funds, Issues Report on Prime Money Market Fund Activity at Onset of Pandemic

SEC Withdraws Certain COVID Relief for Funds, Issues Report on Prime Money Market Fund Activity at Onset of Pandemic April 27, 2021 The SEC’s Division of Investment Management is...

April 27, 2021

Tags: Coronavirus, COVID-19, Division of Investment Management, Money Market Fund, Mutual Funds

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