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 Regarding Rule 206(3)-3T under the Investment Advisers Act of 1940
- Money Market Fund Statistics, July 2016
- Staff Letter (No-action relief under Section 12(d)(3) of the Investment Company Act)
- Staff Letter (No-Action request under Rule 14a-8)
- Private Fund Statistics (2015 Q4)
- Money Market Fund Statistics, June 2016