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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

  • Staff Letter (No-Action relief with respect to the treatment of certain assets for purposes of relying on Section 3(c)(5)(C))
    Aug. 15, 2019
  • Staff Letter (No-Action relief under Section 7 of the Investment Company Act of 1940)
    Aug. 12, 2019
  • IM No Action Letters (Regulation S-X Rule 3-13 Relief for Certain Non-Variable Insurance Products) (PDF)
    Aug. 8, 2019
View more

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: June 12, 2019

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