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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

  • Money Market Fund Statistics, September 2019 (PDF)
    Oct. 21, 2019
  • Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation
    Oct. 18, 2019
  • No Action Letter (Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products) (PDF)
    Oct. 17, 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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202-551-6720

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Modified: Oct. 9, 2019

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