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
Laws and Rules
- Staff Letter (No-Action relief under Rule 486(b) under the Securities Act of 1933)
- Money Market Fund Statistics, August 2016
- Staff Letter: (No-Action relief under Section 17(f)(1) of the Investment Company Act of 1940)
- Final Rules: Form ADV and Investment Advisers Act Rules (August 2016)
- Staff Letter Regarding Rule 206(3)-3T under the Investment Advisers Act of 1940