Division of Investment Management
E3897
The Division of Investment Management is a branch of the U.S. Securities and Exchange Commission responsible for regulating and overseeing investment companies, investment advisers, and related financial products to protect investors.
Aliases (1)
Statements (48)
| Predicate | Object |
|---|---|
| instanceOf |
division of a government agency
→
regulatory body subdivision → |
| appliesLaw |
Investment Advisers Act of 1940
→
Investment Company Act of 1940 → Securities Act of 1933 → Securities Exchange Act of 1934 → |
| collaboratesWith |
Division of Corporation Finance
→
Division of Enforcement → Office of Compliance Inspections and Examinations → |
| country |
United States
→
|
| focusesOn |
conflicts of interest of investment advisers
→
disclosure effectiveness → fees and expenses of investment funds → fund governance → retail investor protection → |
| goal |
enhance transparency in investment products
→
reduce systemic risk in the asset management industry → |
| industry |
securities regulation
→
|
| jurisdiction |
United States federal government
→
|
| locatedIn |
Washington, D.C.
→
|
| mission |
facilitate fair and efficient markets
→
promote capital formation → protect investors → |
| oversees |
investment adviser disclosures
→
investment company disclosures → registration of investment advisers → registration of investment companies → |
| parentAgency |
U.S. Securities and Exchange Commission
→
|
| partOf |
U.S. Securities and Exchange Commission
→
|
| publishes |
rules and regulations for investment advisers
→
rules and regulations for investment companies → staff guidance → |
| regulates |
closed-end funds
→
exchange-traded funds → investment advisers → investment companies → mutual funds → registered investment companies → unit investment trusts → |
| responsibility |
interpretation of federal securities laws for investment advisers
→
interpretation of federal securities laws for investment companies → no-action letters and interpretive guidance → review of investment adviser filings → review of investment company filings → rulemaking for investment advisers → rulemaking for investment companies → |
| sector |
financial regulation
→
|
| website |
https://www.sec.gov/divisions/investment.shtml
→
|
Referenced by (3)
| Subject (surface form when different) | Predicate |
|---|---|
|
Investment Company Act of 1940
("SEC Division of Investment Management")
→
|
enforcementBy |
|
Securities and Exchange Commission
→
|
hasPart |
|
Office of Asset Management
→
|
supports |