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
- Responses to Frequently Asked Questions Regarding the Commission's Rule under Section 13 of the Bank Holding Company Act (the "Volcker Rule")
- Staff Letter (Securities Act of 1933 — Rule 482)
- Dave Grim Speech (Remarks to the ALI CLE 2015 Conference on Life Insurance Company Products)
- Money Market Fund Statistics, September 2015
- IM Guidance Update (Employees’ Securities Companies and Escheatment)