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Division of Investment Management

Agency decision · Agency decision

142 141 142 Treasury 59 59 59 59 59 59 59 59 60 60 60 60 62 62 62 62 62 62 62 62 60 59 59 59 59 59 59 59 59 59 59 57 57 57 57 56 56 56 56 56 56 55 55 54 53 53 52 51 51 Total 412 411 410 406 406 406 399 … 89.3 93.3 90.8 92.1 94.0 90.5 93.5 93.5 91.9 89.2 90.9 93.1 92.4 92.5 92.8 91.2 91.1 93.7 97.0 95.2 98.7 99.6 97.7 95.0 97.4 92.4 96.4 98.0 97.1 96.9 97.1 101.2 97.8 97.8 101.2 97.7 99.8 95.4 91.1 Page 24

Division of Investment Management

Agency decision · Agency decision

142 141 142 140 Treasury 59 59 59 59 59 59 59 60 60 60 60 62 62 62 62 62 62 62 62 60 59 59 59 59 59 59 59 59 59 59 57 57 57 57 56 56 56 56 56 56 55 55 54 53 53 52 51 51 50 Total 411 410 406 406 406 399 … 93.3 90.8 92.1 94.0 90.5 93.5 93.5 91.9 89.2 90.9 93.1 92.4 92.5 92.8 91.2 91.1 93.7 97.0 95.2 98.7 99.6 97.7 95.0 97.4 92.4 96.4 98.0 97.1 96.9 97.1 101.2 97.8 97.8 101.2 97.7 99.8 95.4 91.1 84.9 Page 24

Division of Investment Management

Agency decision · Agency decision

142 141 142 140 140 139 Treasury 59 59 59 59 59 60 60 60 60 62 62 62 62 62 62 62 62 60 59 59 59 59 59 59 59 59 59 59 57 57 57 57 56 56 56 56 56 56 55 55 54 53 53 52 51 51 50 50 50 Total 406 406 406 399 … 92.1 94.0 90.5 93.5 93.5 91.9 89.2 90.9 93.1 92.4 92.5 92.8 91.2 91.1 93.7 97.0 95.2 98.7 99.6 97.7 95.0 97.4 92.4 96.4 98.0 97.1 96.9 97.1 101.2 97.8 97.8 101.2 97.7 99.8 95.4 91.1 84.9 89.1 90.7 Page 24

Public Information - Released September 21, 2021

Agency decision · Agency decision

142 141 142 140 140 139 139 Treasury 59 59 59 59 60 60 60 60 62 62 62 62 62 62 62 62 60 59 59 59 59 59 59 59 59 59 59 57 57 57 57 56 56 56 56 56 56 55 55 54 53 53 52 51 51 50 50 50 50 Total 406 406 399 … 94.0 90.5 93.5 93.5 91.9 89.2 90.9 93.1 92.4 92.5 92.8 91.2 91.1 93.7 97.0 95.2 98.7 99.6 97.7 95.0 97.4 92.4 96.4 98.0 97.1 96.9 97.1 101.2 97.8 97.8 101.2 97.7 99.8 95.4 91.1 84.9 89.1 90.7 90.9 Page 24

Division of Investment Management

Agency decision · Agency decision

142 141 142 140 140 139 139 139 139 Treasury 59 59 60 60 60 60 62 62 62 62 62 62 62 62 60 59 59 59 59 59 59 59 59 59 59 57 57 57 57 56 56 56 56 56 56 55 55 54 53 53 52 51 51 50 50 50 50 50 50 Total 399 … 93.5 93.5 91.9 89.2 90.9 93.1 92.4 92.5 92.8 91.2 91.1 93.7 97.0 95.2 98.7 99.6 97.7 95.0 97.4 92.4 96.4 98.0 97.1 96.9 97.1 101.2 97.8 97.8 101.2 97.7 99.8 95.4 91.1 84.9 89.1 90.7 90.9 89.0 87.7 Page 24

Division of Investment Management

Agency decision · Agency decision

11 91 159 60 415 11 91 159 59 413 11 90 158 59 411 11 90 158 59 411 11 89 159 59 411 11 89 159 59 412 11 89 159 59 411 11 89 159 59 410 11 85 159 59 406 11 85 159 59 406 11 85 159 59 406 11 80 157 59 399 … 97.6 99.6 18.8 36.6 96.1 97.7 16.3 34.7 93.0 95.0 15.7 33.8 91.9 97.4 14.2 34.2 98.3 92.4 13.4 31.2 100.1 96.4 15.9 30.6 102.3 98.0 17.7 32.9 102.9 97.1 16.8 33.4 101.7 96.9 15.5 35.6 99.7 97.1 Page 24

Public Information – Released December 18, 2020

Agency decision · Agency decision

Treasury 60 59 59 59 59 59 59 59 59 59 59 59 59 60 60 60 60 62 62 62 62 62 62 62 62 60 59 59 59 59 59 59 59 59 59 59 57 57 57 57 56 56 56 56 56 56 55 55 54 Total 415 413 411 411 411 412 411 410 406 406 406 399 … 90.6 86.5 82.8 86.7 88.9 89.3 93.3 90.8 92.1 94.0 90.5 93.5 93.5 91.9 89.2 90.9 93.1 92.4 92.5 92.8 91.2 91.1 93.7 97.0 95.2 98.7 99.6 97.7 95.0 97.4 92.4 96.4 98.0 97.1 96.9 97.1 101.2 97.8 97.8 Page 24

Public Information - Released January 22, 2021

Agency decision · Agency decision

Treasury 59 59 59 59 59 59 59 59 59 59 59 59 60 60 60 60 62 62 62 62 62 62 62 62 60 59 59 59 59 59 59 59 59 59 59 57 57 57 57 56 56 56 56 56 56 55 55 54 53 Total 413 411 411 411 412 411 410 406 406 406 399 … 86.5 82.8 86.7 88.9 89.3 93.3 90.8 92.1 94.0 90.5 93.5 93.5 91.9 89.2 90.9 93.1 92.4 92.5 92.8 91.2 91.1 93.7 97.0 95.2 98.7 99.6 97.7 95.0 97.4 92.4 96.4 98.0 97.1 96.9 97.1 101.2 97.8 97.8 101.2 Page 24

Public Information - Released February 18, 2021

Agency decision · Agency decision

Treasury 59 59 59 59 59 59 59 59 59 59 59 60 60 60 60 62 62 62 62 62 62 62 62 60 59 59 59 59 59 59 59 59 59 59 57 57 57 57 56 56 56 56 56 56 55 55 54 53 60 Total 411 411 411 412 411 410 406 406 406 399 … 82.8 86.7 88.9 89.3 93.3 90.8 92.1 94.0 90.5 93.5 93.5 91.9 89.2 90.9 93.1 92.4 92.5 92.8 91.2 91.1 93.7 97.0 95.2 98.7 99.6 97.7 95.0 97.4 92.4 96.4 98.0 97.1 96.9 97.1 101.2 97.8 97.8 101.2 97.4 Page 24

Public Information - Released March 16, 2021

Agency decision · Agency decision

142 Treasury 59 59 59 59 59 59 59 59 59 59 60 60 60 60 62 62 62 62 62 62 62 62 60 59 59 59 59 59 59 59 59 59 59 57 57 57 57 56 56 56 56 56 56 55 55 54 53 53 52 Total 411 411 412 411 410 406 406 406 399 … 86.7 88.9 89.3 93.3 90.8 92.1 94.0 90.5 93.5 93.5 91.9 89.2 90.9 93.1 92.4 92.5 92.8 91.2 91.1 93.7 97.0 95.2 98.7 99.6 97.7 95.0 97.4 92.4 96.4 98.0 97.1 96.9 97.1 101.2 97.8 97.8 101.2 97.7 99.8 Page 24

Public Information - Released July 16, 2021

Agency decision · Agency decision

142 141 142 140 140 Treasury 59 59 59 59 59 59 60 60 60 60 62 62 62 62 62 62 62 62 60 59 59 59 59 59 59 59 59 59 59 57 57 57 57 56 56 56 56 56 56 55 55 54 53 53 52 51 51 50 50 Total 410 406 406 406 399 … 90.8 92.1 94.0 90.5 93.5 93.5 91.9 89.2 90.9 93.1 92.4 92.5 92.8 91.2 91.1 93.7 97.0 95.2 98.7 99.6 97.7 95.0 97.4 92.4 96.4 98.0 97.1 96.9 97.1 101.2 97.8 97.8 101.2 97.7 99.8 95.4 91.1 84.9 89.1 Page 24

Division of Investment Management

Agency decision · Agency decision

11 91 159 60 415 11 91 159 59 413 11 90 158 59 411 11 90 158 59 411 11 89 159 59 411 11 89 159 59 412 11 89 159 59 411 11 89 159 59 410 11 85 159 59 406 11 85 159 59 406 11 85 159 59 406 11 80 157 59 399 … 27.9 88.2 92.4 14.6 27.6 93.0 92.5 12.9 25.1 90.9 92.8 14.1 25.0 93.3 91.2 14.1 32.5 95.5 91.1 12.8 31.4 94.7 93.7 14.0 37.2 97.0 97.0 16.2 38.5 98.1 95.2 19.5 41.7 97.7 98.7 19.2 40.5 97.6 99.6 Page 24

Division of Investment Management

Agency decision · Agency decision

11 91 159 60 415 11 91 159 59 413 11 90 158 59 411 11 90 158 59 411 11 89 159 59 411 11 89 159 59 412 11 89 159 59 411 11 89 159 59 410 11 85 159 59 406 11 85 159 59 406 11 85 159 59 406 11 80 157 59 399 … 96.1 97.7 16.3 34.7 93.0 95.0 15.7 33.8 91.9 97.4 14.2 34.2 98.3 92.4 13.4 31.2 100.1 96.4 15.9 30.6 102.3 98.0 17.7 32.9 102.9 97.1 16.8 33.4 101.7 96.9 15.5 35.6 99.7 97.1 18.4 34.4 100.9 101.2 Page 24

Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies

Federal Register · Rule · Jan 26, 2009

(a), 24(g), 30, and 38 of the Investment Company Act [15 U.S.C. 80a-8, 80a-24(a), 80a-24(g), 80a-29, and 80a-37]. … (a), 24(g), 30, and 38 of the Investment Company Act [15 U.S.C. 80a-8, 80a-24(a), 80a-24(g), 80a-29, and 80a-37].

Update of Statistical Disclosures for Bank and Savings and Loan Registrants

Federal Register · Proposed Rule · Oct 3, 2019

0.75) × $400 = $300. 395  One hour × 0.75 = 0.75 hours. 396  (One hour × 0.25) × $400 = $100. 397  Two hours × 0.75 = 1.5 hours. 398  (Two hours × 0.25) × $400 = $200. 399 … (C) (D) [(B * (C)] (E) (F) [(B) * (E)] Annual Reports = −2 hours Form 10-K 453 397  (1.5) (679.5) 398  ($200) ($90,600) Form 20-F 34 399

Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers

Federal Register · Rule · Jul 6, 2011

(Jan. 24, 2011) (“Sevin Rosen Letter”). … Advisers) (Jan. 24, 2011) (“Katten Foreign Advisers Letter”); Comment Letter of MAp Airports Limited (Jan. 24, 2011) (“MAp Airports Letter”); Comment Letter of Wellington Financial LP (Jan. 24, 2011) (

Division of Investment Management

Agency decision · Agency decision

11 91 159 60 415 11 91 159 59 413 11 90 158 59 411 11 90 158 59 411 11 89 159 59 411 11 89 159 59 412 11 89 159 59 411 11 89 159 59 410 11 85 159 59 406 11 85 159 59 406 11 85 159 59 406 11 80 157 59 399 … 97.7 98.7 19.2 40.5 97.6 99.6 18.8 36.6 96.1 97.7 16.3 34.7 93.0 95.0 15.7 33.8 91.9 97.4 14.2 34.2 98.3 92.4 13.4 31.2 100.1 96.4 15.9 30.6 102.3 98.0 17.7 32.9 102.9 97.1 16.8 33.4 101.7 96.9 Page 24

Public Information - Released April 21, 2020

Agency decision · Agency decision

142 141 Treasury 59 59 59 59 59 59 59 59 59 60 60 60 60 62 62 62 62 62 62 62 62 60 59 59 59 59 59 59 59 59 59 59 57 57 57 57 56 56 56 56 56 56 55 55 54 53 53 52 51 Total 411 412 411 410 406 406 406 399 … 88.9 89.3 93.3 90.8 92.1 94.0 90.5 93.5 93.5 91.9 89.2 90.9 93.1 92.4 92.5 92.8 91.2 91.1 93.7 97.0 95.2 98.7 99.6 97.7 95.0 97.4 92.4 96.4 98.0 97.1 96.9 97.1 101.2 97.8 97.8 101.2 97.7 99.8 95.4 Page 24

Division of Investment Management

Agency decision · Agency decision

142 141 142 140 140 139 139 139 Treasury 59 59 59 60 60 60 60 62 62 62 62 62 62 62 62 60 59 59 59 59 59 59 59 59 59 59 57 57 57 57 56 56 56 56 56 56 55 55 54 53 53 52 51 51 50 50 50 50 50 Total 406 399 … 90.5 93.5 93.5 91.9 89.2 90.9 93.1 92.4 92.5 92.8 91.2 91.1 93.7 97.0 95.2 98.7 99.6 97.7 95.0 97.4 92.4 96.4 98.0 97.1 96.9 97.1 101.2 97.8 97.8 101.2 97.7 99.8 95.4 91.1 84.9 89.1 90.7 90.9 89.0 Page 24

Division of Investment Management

Agency decision · Agency decision

11 91 159 60 415 11 91 159 59 413 11 90 158 59 411 11 90 158 59 411 11 89 159 59 411 11 89 159 59 412 11 89 159 59 411 11 89 159 59 410 11 85 159 59 406 11 85 159 59 406 11 85 159 59 406 11 80 157 59 399 … 25.1 90.9 92.8 14.1 25.0 93.3 91.2 14.1 32.5 95.5 91.1 12.8 31.4 94.7 93.7 14.0 37.2 97.0 97.0 16.2 38.5 98.1 95.2 19.5 41.7 97.7 98.7 19.2 40.5 97.6 99.6 18.8 36.6 96.1 97.7 16.3 34.7 93.0 95.0 Page 24