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GIPS Standards

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NO-ACTION LETTERS

No-Action Letters (IAs) 

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LICENSING/EXAM PREP

FINRA Exam Prep Resources 

FINRA Licenses Matrix

MSRB EMMA

Blue Sky Research (Link to Statutes and Regs)

Rule 605 Market Center Reports Link

Investment Advisers Act Links to Rules, Guidance, Interpretations
 

1.1 Custody of Funds or Securities by Investment Advisers

https://www.sec.gov/rules/final/ia-2176.htm

1.2 Custody: SEC Staff Provides Responses to Questions (FAQs)

https://www.sec.gov/divisions/investment/custody_faq_030510.htm

2.1 Records Required and Retention

https://www.law.cornell.edu/cfr/text/17/275.204-2

3.1 Third Party Marketers/Payments To

https://www.law.cornell.edu/cfr/text/17/275.206(4)-3

4.1 Advertisements by Investment Advisers

https://www.law.cornell.edu/cfr/text/17/275.206%284%29-1

5.1 Agency Cross Transactions

https://www.law.cornell.edu/cfr/text/17/275.206%283%29-2

5.2 Agency Crosses: SEC Clarifications

https://www.sec.gov/rules/interp/ia-1732.htm

6.1 Limitations on Clients Charged Performance Fees

https://www.law.cornell.edu/cfr/text/17/275.205-3

7 Investment Advisers Act of 1940, as amended (FULL)

https://www.law.cornell.edu/topn/investment_advisers_act_of_1940

8.1 Codes of Ethics

https://www.law.cornell.edu/cfr/text/17/275.204A-1

9.1 Advertisements and Sales Literature

https://www.law.cornell.edu/cfr/text/17/275.206(4)-1

9.2 Honesty in Disclosures Made to Investors in Pooled Investment Vehicles

https://www.law.cornell.edu/cfr/text/17/275.206(4)-8

10.1 Political Contributions (Limitations, Disclosures, Exemptions)/Pay to Play

https://www.law.cornell.edu/cfr/text/17/275.206(4)-5

11.1 Proxy Voting Obligations

https://www.law.cornell.edu/cfr/text/17/275.206(4)-6

12.1 Requirement for Written Compliance Procedures

https://www.law.cornell.edu/cfr/text/17/275.206(4)-7

13.1 Soft Dollars: SEC Guidance

https://www.sec.gov/rules/interp/2006/34-54165.pdf

14.1 Amending Form ADV: Obligations

https://www.law.cornell.edu/cfr/text/17/275.204-1

15 Division of Investment Management Topical Reference Guide

https://www.sec.gov/divisions/investment/guidance.shtml#accounting

• 15.1 Accounting and Auditing
• 15.2 Advertising/Performance/Social Media
• 15.3 Advisory Contract/Fees – Investment Adviser
• 15.4 Advisory Contract/Fees – Investment Company
• 15.5 Affiliated Transactions/Joint Transactions
• 15.6 Anti-Money Laundering
• 15.7 Asset-Backed Securities Issuers
• 15.8 Assignment
• 15.9 Best Execution/Soft Dollars
• 15.10 Business Development Companies
• 15.11 Closed-End Funds
• 15.12 Code of Ethics
• 15.13 Commodities
• 15.14 Compliance – Investment Companies
• 15.15 Credit Ratings
• 15.16 Custody – Investment Adviser
• 15.17 Custody – Investment Company
• 15.18 Cybersecurity
• 15.19 Derivatives
• 15.20 Distribution and Servicing Arrangements
• 15.21 Employee Benefit Plans/ERISA
• 15.22 Emergencies
• 15.23 Employee Securities Companies
• 15.24 Exchange Traded Funds (ETFs)
• 15.25 Family Offices
• 15.26 Fidelity Bond and D&O Insurance
• 15.27 Form 13F
• 15.28 Form ADV/Registration and Disclosure
• 15.29 Form N-1A/Registration and Disclosure
• 15.30 Form N-2/Registration and Disclosure
• 15.31 Form N-3/Registration and Disclosure
• 15.32 Form N-4/Registration and Disclosure
• 15.33 Form N-6/Registration and Disclosure
• 15.34 Form N-14
• 15.35 Form N-CEN
• 15.36 Form N-CSR/N-Q
• 15.37 Form N-PORT
• 15.38 Form N-PX
• 15.39 Form N-SAR
• 15.40 Form PF
• 15.41 Fund Governance
• 15.42 Fund Mergers
• 15.43 Fund of Funds
• 15.44 Ineligible/Disqualified Firms
• 15.45 Insured Investments
• 15.46 International
• 15.47 Investment Advisers – General
• 15.48 JOBS Act
• 15.49 Money Market Funds
• 15.50 Mortgages/Real Estate/REITs
• 15.51 Pay-to-Play
• 15.52 Portfolio Management – Concentration/Diversification
• 15.53 Portfolio Management – Liquidity/Leverage/Names Rule
• 15.54 Privacy/Identity Theft
• 15.55 Private Fund Advisers
• 15.56 Prospectus Delivery
• 15.57 Proxy Voting/Shareholder Meetings
• 15.58 Real Estate/REITs
• 15.59 Recordkeeping
• 15.60 Redemptions
• 15.61 Securities Lending
• 15.62 Senior Securities
• 15.63 Solicitation/Referral Arrangements
• 15.64 Status – Investment Adviser
• 15.65 Status – Investment Company
• 15.66 Subadvisers/Multi-Managers
• 15.67 Subsidiaries
• 15.68 Trading Issues – Aggregation/Allocation
• 15.69 Trading Issues – Principal Transactions/Agency Cross
• 15.70 Unit Investment Trusts (UITs)
• 15.71 Valuation
• 15.72 Volcker Rule
• 15.73 Wrap Accounts/Separately Managed Accounts

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