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, March 2016
- Staff Letter (No-Action relief under Investment Advisers Act of 1940 – Section 206(3))
- Staff Letter (No-Action relief under sections 12(d)(2) and 12(d)(3) of the Investment Company Act of 1940)
- IM Guidance Update (Fast Act Changes Affecting Investment Advisers to Small Business Investment Companies)
- Money Market Fund Statistics, February 2016
- Dave Grim Speech (Remarks to ICI 2016 Mutual Funds and Investment Management Conference)