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This document outlines a request for no-action relief regarding enforcement actions under the Investment Advisers Act related to investment advisers inadvertently receiving client assets from third
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How to fill out Response of the Office of Chief Counsel Division of Investment Management
01
Begin by obtaining the official form for the Response of the Office of Chief Counsel Division of Investment Management.
02
Read the instructions carefully to understand the required information and format.
03
Fill in the identification section, including the name of the entity and contact information.
04
Provide a clear and detailed explanation of the issue or question you seek clarification on.
05
Attach any relevant documentation that supports your inquiry.
06
Review the filled-out form for accuracy and completeness.
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Submit the completed form to the designated office, following any specific submission guidelines provided.
Who needs Response of the Office of Chief Counsel Division of Investment Management?
01
Investment management firms seeking legal clarification on regulatory issues.
02
Entities involved in investment activities needing guidance on compliance matters.
03
Any organization or individual requiring formal responses from the Chief Counsel regarding investment management regulations.
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What does the division of Investment Management do?
Oversees investment advisers and investment companies, including mutual funds and other investment products, that investors may use to help them buy a home, send kids to college, or prepare for retirement.
Who is the chief counsel of the SEC Investment Management?
Kaitlin C. Bottock is Co-Chief Counsel of the Securities and Exchange Commission's Division of Investment Management. In this role, she oversees the Division's legal guidance regarding investment companies and investment advisers. She has served in this role since October 2022.
What is the SEC Division of Investment Management phone number?
Division of Investment Management (IM) For investment company filings (except Forms 13F, N-CEN and 24F-2), call the IM EDGAR inquiry line at (202) 551-6989.
How do I contact the SEC division of Investment Management?
Division of Investment Management (IM) For investment company filings (except Forms 13F, N-CEN and 24F-2), call the IM EDGAR inquiry line at (202) 551-6989.
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What is Response of the Office of Chief Counsel Division of Investment Management?
The Response of the Office of Chief Counsel Division of Investment Management is a formal communication issued by the U.S. Securities and Exchange Commission (SEC) that provides guidance, interpretations, and responses to inquiries regarding investment management regulations and practices.
Who is required to file Response of the Office of Chief Counsel Division of Investment Management?
Entities and individuals involved in investment management activities, such as registered investment advisers, mutual funds, and other investment companies, may be required to file a Response if seeking clarification or guidance on regulatory matters.
How to fill out Response of the Office of Chief Counsel Division of Investment Management?
Filling out a Response typically involves submitting a request in writing, clearly outlining the specific questions or issues for which guidance is sought. It should include relevant facts and any applicable regulatory references.
What is the purpose of Response of the Office of Chief Counsel Division of Investment Management?
The purpose is to provide clarity, guidance, and interpretative advice on the application of investment management regulations, helping industry participants to comply with the law and make informed decisions.
What information must be reported on Response of the Office of Chief Counsel Division of Investment Management?
The information required typically includes detailed descriptions of the circumstances surrounding the inquiry, any relevant legal or regulatory provisions, and the specific questions or issues for which a response is being sought.
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