Investment Management
About the Office »
The Division of Investment Management regulates investment companies, variable insurance products, and federally registered investment advisers. Types of investment companies include mutual funds, closed-end funds, unit investment trusts, and exchange-traded funds.
The Division of Investment Management works to:
- Protect investors
- Promote informed investment decisions
- Facilitate appropriate innovation in investment products and services through regulating the asset management industry.
Learn more about the Division of Investment Management 
Resources
Regulatory Action
Laws and Rules
Latest News and Updates 
- Money Market Fund Statistics, December 2016
- IM Information Update (Updates to Form PF Frequently Asked Questions)
- Staff Letter (Interpretive letter under Section 22(d) of the Investment Company Act of 1940 - Fund Shares Distribution)
- Staff Letter (No-Action Relief under Section 15(a) of the Investment Company Act)