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
- Responses to Frequently Asked Questions Regarding the Commission's Rule under Section 13 of the Bank Holding Company Act (the "Volcker Rule")
- IM Guidance Update (Acceptance of Gifts or Entertainment by Fund Advisory Personnel)
- Staff Letter (No-Action relief under Rule 14a-8 under the securities Exchange Act of 1934)
- Staff Letter (No-action relief with respect to Rule 482 under the Securities Act of 1933)
- Money Market Fund Statistics