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
- Money Market Fund Statistics, September 2016
- Private Fund Statistics (2016 Q1)
- “Tandy” Representations No Longer Needed in Filing Reviews
- Staff Letter (No-Action relief extending relief concerning the performance of certain engagements under rule 206(4)-2 by auditors in light of the PCAOB's Temporary Rule providing for its inspection of auditors related to audits of brokers or dealers)
- Staff Letter (no-action relief under Section 3(c)(5)(A) and (B) of the Investment Company Act of 1940 – renewable energy)