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, December 2015
- Private Funds Statistics (2014 Q4 (revised), 2015 Q1, 2015 Q2)
- Staff Letter (No-Action relief under Rule 486(b) under the Securities Act of 1933
- IM Guidance Update (Mutual Fund Distribution and Sub-Accounting Fees)
- Staff Letter (Extension of no-action relief under rule 17f-6 under the Investment Company Act of 1940)