The Division of Investment Management supports the Commission in its mission to protect investors, maintain fair, orderly and efficient markets, and facilitate capital formation. The Division has primary responsibility for administering the Investment Company Act of 1940 and Investment Advisers Act of 1940, which includes developing regulatory policy for investment companies ( e.g., mutual funds, including money market funds, closed-end funds, business development companies, unit investment trusts, variable insurance products, and exchange-traded funds) and for investment advisers.
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.
Programs and Services
- Investment Advisers Act Applications, Notices and Orders
- Investment Company Registration and Regulation Package
- Investment Company Act Notices and Orders
- Mutual Fund Proxy Voting Records
- Notices of Effectiveness
- Private Fund Adviser Resources
- Topical Reference Guide
Modified: Sept. 2, 2021