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
Information and Guidance
Topical Reference Guide
Notices and Orders
- Staff Letter (No-Action relief under Rule 14a-8(i)(7))
- Staff Letter (No-Action relief under the Custody Rule with respect to principal-owned private funds)
- Money Market Fund Statistics
- Dave Grim Speech (Remarks to 2015 IAA Compliance Conference)
- Dave Grim Speech (Remarks to PLI Investment Management Institute 2015)