Division of Investment Management of the SEC

E126396

division of a government agency regulatory body

The Division of Investment Management of the SEC is the U.S. Securities and Exchange Commission unit responsible for regulating and overseeing investment companies, investment advisers, and related financial products to protect investors and promote fair, efficient markets.

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All labels observed (1)

Label	Occurrences
Division of Investment Management of the SEC canonical	2

Statements (48)

Predicate	Object
instanceOf	division of a government agency ⓘ regulatory body ⓘ
advises	Securities and Exchange Commission ⓘ surface form: U.S. Securities and Exchange Commission
advisesOn	rulemaking related to investment advisers ⓘ rulemaking related to investment companies ⓘ
collaboratesWith	Division of Corporation Finance ⓘ surface form: Division of Corporation Finance of the SEC Division of Enforcement of the SEC ⓘ
country	United States of America ⓘ surface form: United States
employer	accountants ⓘ financial analysts ⓘ staff attorneys ⓘ
enforces	Investment Advisers Act of 1940 ⓘ Investment Company Act of 1940 ⓘ
focusArea	asset management industry ⓘ registered funds ⓘ registered investment advisers ⓘ
goal	enhance investor protection in pooled investment vehicles ⓘ improve quality of disclosure to fund investors ⓘ mitigate conflicts of interest in asset management ⓘ
jurisdiction	United States federal securities laws ⓘ
locatedIn	Washington, D.C. ⓘ
mission	facilitate capital formation in investment funds ⓘ promote efficient markets ⓘ promote fair markets ⓘ protect investors ⓘ
oversees	investment adviser disclosures ⓘ investment company disclosures ⓘ registration of investment advisers ⓘ registration of investment companies ⓘ
parentAgency	Securities and Exchange Commission ⓘ surface form: U.S. Securities and Exchange Commission
partOf	Securities and Exchange Commission ⓘ surface form: U.S. Securities and Exchange Commission
regulates	closed-end funds ⓘ exchange-traded funds ⓘ investment advisers ⓘ investment companies ⓘ mutual funds ⓘ unit investment trusts ⓘ variable insurance products ⓘ
responsibility	develop policy for asset management industry ⓘ interpret federal securities laws for investment advisers ⓘ interpret federal securities laws for investment companies ⓘ review investment adviser filings ⓘ review investment company filings ⓘ
usesAuthorityFrom	Investment Advisers Act of 1940 ⓘ Investment Company Act of 1940 ⓘ U.S. Securities Act of 1933 ⓘ surface form: Securities Act of 1933 U.S. Securities Exchange Act of 1934 ⓘ surface form: Securities Exchange Act of 1934
website	https://www.sec.gov/divisions/investment-management ⓘ

Referenced by (2)

Full triples — surface form annotated when it differs from this entity's canonical label.

Office of Compliance Inspections and Examinations → collaboratesWith → Division of Investment Management of the SEC ⓘ

Chair of the U.S. Securities and Exchange Commission → oversees → Division of Investment Management of the SEC ⓘ