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
- Staff Letter (No-action relief under rule 486(b) under the Securities Act of 1933)
- Norm Champ Speech (Remarks to the Practising Law Institute, Hedge Fund Management Seminar 2014)
- Staff Letter (No-action relief under Section 205(a)(1) of the Investment Advisers Act of 1940)
- Commission Proposes Two-Year Extension of Sunset Date for Advisers Act Rule 206(3)-3T
- Staff Letter (No-action relief under rule 206(4)-3 under the Investment Advisers Act of 1940)
- Staff Letter (No-action relief under Section 15(a) of the Investment Company Act of 1940)
- SEC Adopts Money Market Fund Reform Rules