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Investment Management

Investment Management

Logo for 75th Anniversary of Investment Company Act and Investment Advisers Act

About the Office ยป

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.

Modified: Jan. 21, 2016