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, July 2015
- Staff Letter (No-Action relief under 14a-8)
- Staff Letter (No-Action relief under Sections 12(b) and 12(g) of the Securities Exchange Act of 1934 and Section 7 of the Investment Company Act of 1940)
- Money Market Fund Statistics, June 2015
- Staff Letter (No-Action relief under Sections 7(a), 55(a) and 23(c) of the Investment Company Act of 1940)