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Division of Investment Management

The Division of Investment Management regulates investment companies (such as mutual funds, closed-end funds, UITs, ETFs, and interval funds), including variable insurance products, and federally registered investment advisers.

   *   Investment Company Act of 1940

   *   Investment Company Act Rules

   *   Investment Advisers Act of 1940

   *   Investment Advisers Act Rules

Staff Guidance and Studies
   *   August 21, 2007 Letter to Investment Company Institute re: Funds Use of Rule 22c-2 Information for Marketing Purposes

   *   June 28, 2007 Letter to Fidelity Investments, Massachusetts Financial Services Company and OppenheimerFunds, Inc. re: Implementation of FASB Interpretation No. 48

   *   Staff Responses to Questions Regarding Disclosure of Fund of Funds Expenses

   *   December 22, 2006 Letter to ICI re: Implementation of FASB Interpretation No. 48

   *   December 14, 2006 Letter to Babson Capital Management LLC re: Interpretive Guidance on Exchange Act Rule 16b-3

   *   Staff Letters Regarding Auditing Standards for Financial Statements of Insurance Company Depositors of Variable Insurance Products

   *   Staff Responses to Questions About Amended Custody Rule

   *   October 17, 2003 Letter to the ICI re: Disclosure by Funds Investing in Government Sponsored Enterprises

   *   Implications of the Growth of Hedge Funds

   *   Protecting Investors: A Half Century of Investment Company Regulation (May 1992)

   *   Questions and Answers Regarding the Mutual Fund Customer Identification Program Rule

   *   2001 Mutual Fund Fee Report

   *   Staff Legal Bulletins


   *   Variable Annuities: What You Should Know

   *   Invest Wisely: An Introduction to Mutual Funds

   *   Investment Advisers: What You Need to Know Before Choosing One

   *   Information on Investment Clubs

   *   Mutual Fund Investing: Look at More than a Mutual Funds Past Performance

   *   Mutual Fund Cost Calculator

Anti-Money Laundering Rulemaking
Report Issued on Improving Financial Privacy Notices for Consumers
Contact Us
Effectiveness Notices

     Investment Company Registration and Regulation Package

      Mutual Fund Registration Form (Form N-1a) and Instructions

Investment Adviser Regulation
     Information for Newly-Registered Investment Advisers

     IARD: Electronic Filing for Advisers

      Compliance Information

      IAPD: Investment Adviser Public Disclosure Website (Background Information)
      Investment Adviser Forms

Investment Company Act Notices and Orders
Investment Company Act Deregistration Notices and Orders
Investment Advisers Act Notices and Orders
Investment Management Staff
No-Action and Interpretive Letters

   *   Frequently Asked Questions About Form 13F

   *   Official List of Section 13(f) Securities

GETS Cards

   *   Rule 12b-1

   *   Interactive Data

   *   Hedge Funds

   *   Role of Independent Investment Company Directors

   *   Investment Adviser Regulatory Issues (May 2000)

   *   February 2001 Letter to Investment Company CFOs

   *   December 1999 Letter to Investment Company CFOs

   *   December 1998 Letter to Investment Company CFOs

Applications of Enron Corp. for Exemptions Under the Public Utility Holding Company Act of 1935

Modified: 11/30/2007