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
Information and Guidance
Topical Reference Guide
Notices and Orders
- Norm Champ Speech (Remarks to the 2014 Insured Retirement Institute Government, Legal & Regulatory Conference)
- Norm Champ Speech (Remarks to the PLI Private Equity Forum)
- Staff Legal Bulletin (Proxy Voting: Proxy Voting Responsibilities of Investment Advisers and Availability of Exemptions from the Proxy Rules for Proxy Advisory Firms)
- IM Guidance Update (BDCs with Wholly-Owned SBIC Subsidiaries-Asset Coverage Requirements)
- IM Guidance Update (Mutual Fund Enhanced Disclosure)