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Division of Investment Management

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The work of the Division of Investment Management touches the lives of Main Street investors. We oversee mutual funds and other investment products and services that investors may use to help them buy a home, send kids to college, or prepare for retirement.
Learn more about the Division of Investment Management

Investor Resources

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Recent News

  • SEC Issues Agenda for Inaugural Meeting of the Asset Management Advisory Committee
    Jan. 9, 2020
  • Money Market Fund Statistics, November 2019 (PDF)
    Dec. 23, 2019
  • Staff Letter (No-Action relief under Sections 5(b) and 6(b) of the Securities Act of 1933 and Rule 486(b) thereunder)
    Dec. 16, 2019
View more
Investment Adviser and Broker-Dealer Standards of Conduct
Please send questions to the Commission’s inter-Divisional Standards of Conduct Implementation Committee at IABDQuestions@sec.gov.

Engaging on Fund Innovation and Cryptocurrency-related Holdings

Engaging on Non-DVP Custodial Practices and Digital Assets

SEC Announces Measures to Facilitate Cross-Border Implementation of the European Union's MiFID II's Research Provisions

Dalia Blass PhotoDalia Blass, Director, Investment Management
 

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Modified: Dec. 16, 2019

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