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.

Laws and Rules      Investment Company Act of 1940      Investment Company Act Rules      Investment Advisers Act of 1940      Investment Advisers Act Rules Staff Guidance and Studies      Securities Lending by U.S. Open-End and Closed-End Investment Companies      The Jumpstart Our Business Startups Act and Investment Companies      Frequently Asked Questions on Form PF      Frequently Asked Questions on Form ADV and IARD      Staff Responses to Questions About the Family Office Rule      Frequently Asked Questions Regarding Mid-Sized Advisers      Staff Responses to Questions About the Pay to Play Rule      Staff Responses to Questions About Part 2 of Form ADV      July 30, 2010 Letter to Investment Company Institute re: Derivatives-Related Disclosures by Investment Companies      Staff Responses to Questions about Information Filed on Form N-MFP      Staff Responses to Questions about Rule 30b1-7 and Form N-MFP      Staff Responses to Questions About Money Market Fund Reform      Staff Responses to Questions About the Custody Rule      Frequently Asked Questions About Proxy Disclosure Enhancements Transition for Registered Investment Companies      Valuation of Portfolio Securities and other Assets Held by Registered Investment Companies — Select Bibliography of the Division of Investment Management      September 26, 2008 Responses to Frequently Asked Questions about The Reserve Fund and Money Market Funds      Registered Investment Company Use of Senior Securities — Select Bibliography      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      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 more... Miscellaneous Investor Information      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

Contact Us Anti-Money Laundering Rulemaking Report Issued on Improving Financial Privacy Notices for Consumers Effectiveness Notices Division Announcements Investment Company Regulation      Investment Company Registration and Regulation Package      Mutual Fund Registration Form (Form N-1A) and Instructions Investment Adviser Regulation      Regulation of Investment Advisers: Outline and Staff Views      Information for Newly-Registered Investment Advisers      IARD: Electronic Filing for Advisers   PFRD: Electronic Filing of Form PF      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 Investment Management Staff Issues of Interest Money Market Fund Reporting of Portfolio Information Form 13F      Frequently Asked Questions About Form 13F      Official List of Section 13(f) Securities GETS Cards Roundtables      Money Market Funds and Systemic Risk      Securities Lending      Rule 12b-1      Interactive Data      Hedge Funds      Role of Independent Investment Company Directors      Investment Adviser Regulatory Issues (May 2000) Annual Industry Comment Letters      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

http://www.sec.gov/divisions/investment.shtml