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Investment Management

Investment Management

Logo for 75th Anniversary of Investment Company Act and Investment Advisers Act

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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.

Modified: Nov. 20, 2015