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Investment Management

Investment Management


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

About the Office »

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.
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Modified: July 6, 2016