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
- Norm Champ Speech (Remarks to the ALI CLE 2014 Conference on Life Insurance Company Products)
- Staff Letter (No-action relief under rule 486(b) under the Securities Act of 1933)
- Staff Letter (Exclusion of Shareholder Proposal under Rule 14a-8)
- IM Guidance Update (Investment Company Consolidation)
- Norm Champ Speech (Remarks to the SIFMA Complex Products Forum)
- IM Guidance Update (Mixed and Shared Funding Orders)