Information for Funds & Advisers

This page provides a shortcut to much of the information on the SEC's website for investment companies - such as mutual funds, closed-end funds, UITs, ETFs, and interval funds - and federally registered investment advisers.

Laws and Rules      Investment Company Act of 1940      Investment Company Act Rules      Investment Advisers Act of 1940    Investment Advisers Act Rules    Public Utility Holding Company Act of 1935    Public Utility Regulation Rules Mutual Fund Registration Form (Form N-1A) and Instructions Staff Guidance and Studies     Staff Responses to Questions About Amended Custody Rule     Frequently Asked Questions about Rule 35d-1 (Investment Company Names)     Frequently Asked Questions About Mutual Fund After-Tax Return Requirements     Staff Responses to Questions about Regulation S-P     June 2001 Letter re: Retail Exception to Section 11     April 2001 Letter to the ICI re: Valuation Issues     December 1999 Letter to the ICI re: Valuation Issues     2001 Mutual Fund Fee     1995 Public Utility Regulation Study     Staff Legal Bulletins

Contact Us Investment Adviser Regulation      IARD: Electronic Filing for Advisers      Compliance Information      IAPD: Investment Adviser Public Disclosure Website (Background Information)      Investment Adviser Forms Frequently Asked Questions About Form 13F Roundtables      Hedge Funds      Role of Independent Investment Company Directors     Investment Adviser Regulatory Issues (May 2000) Division of Investment Management Homepage

http://www.sec.gov/info/advisers.shtml