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: support the SEC in its mission to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.
Learn more about the Division of Investment Management 
Resources
Regulatory Action
Laws and Rules
Latest News and Updates 
- IM Guidance Update (Robo-Advisers)
- IM Guidance Update (Inadvertent Custody: Advisory Contract Versus Custodial Contract Authority)
- Revision to Custody Rule FAQ II.4
- Money Market Fund Statistics, January 2017
- Staff Letter (No-Action relief under Section 206(4) and Rule 206(4)-2 under the Investment Advisers Act of 1940)