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, federally registered investment advisers, and public utility holding companies.

Laws and Rules      Investment Company Act of 1940      Investment Company Act Rules      Investment Advisers Act of 1940      Investment Advisers Act Rules      Public Utility Holding Company Act of 1935      Public Utility Regulation Rules Staff Guidance and Studies      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      Questions and Answers Regarding the Mutual Fund Customer Identification Program Rule      Frequently Asked Questions about Rule 35d-1 (Investment Company Names)      Staff Responses to Questions about Regulation S-P      Frequently Asked Questions About Mutual Fund After-Tax Return Requirements      June 2001 Letter re: Retail Exception to Section 11      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 Office of Public Utility Regulation (OPUR)  Investment Adviser Regulation      IARD: Electronic Filing for Advisers      Compliance Information      IAPD: Investment Adviser Public Disclosure Website (Background Information) Investment Adviser Forms Mutual Fund Registration Form (Form N-1A) and Instructions Investment Management Staff No-Action Letters Form 13F      Frequently Asked Questions About Form 13F      Official List of Section 13(f) Securities Outreach Events Sponsored by FBIIC and FDIC Roundtables      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 Current Registered Holding Companies Under the Public Utility Holding Company Act Registered Holding Companies Financial and Corporate Report Applications of Enron Corp. for Exemptions Under the Public Utility Holding Company Act of 1935 Anti-Money Laundering Rulemaking

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