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.
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Recent News

Investment Company Reporting Modernization Frequently Asked Questions
Nov. 14, 2018
Keynote Address: ALI CLE 2018 Conference on Life Insurance Company Products
Nov. 8, 2018
Staff Letter (No-Action relief under Section 203(a) of the Investment Advisers Act of 1940)
Nov. 5, 2018

Engaging on Fund Innovation and Cryptocurrency-related Holdings

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

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Dalia Blass, Director, Investment Management

Contact the Office
202-551-6720

Modified: Nov. 2, 2018

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