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
- Money Market Fund Statistics, March 2015
- Valuation Guidance Frequently Asked Questions
- 2014 Money Market Fund Reform Frequently Asked Questions
- Staff Letter (No-Action relief under Rule 14a-8)
- Staff Letter (No-Action relief under Rule 14a-8(i)(7))