The Division of Investment Management regulates investment companies, variable insurance products, and federally registered investment advisers. Types of investment companies include mutual funds, closed-end funds, unit investment trusts, and exchange-traded funds.
The Division of Investment Management works to:
- Protect investors
- Promote informed investment decisions
- Facilitate appropriate innovation in investment products and services
through regulating the asset management industry.
Learn more about the Division of Investment Management
Laws and Rules
- Staff Letter (No-Action relief under Section 206(4)) of the Investment Advisers Act and rule 206(4)-3)
- Responses to Frequently Asked Questions Regarding the Commission's Rule under Section 13 of the Bank Holding Company Act (the "Volcker Rule"), September 2015
- Money Market Fund Statistics, August 2015
- Staff Letter (No-Action relief under Section 203(l) of the Investment Advisers Act and rule 203(l)-1)
- Money Market Fund Statistics, July 2015