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.

All labels observed (2)

How this entity was disambiguated

Statements (48)

Predicate Object
instanceOf division of a government agency
regulatory body subdivision
appliesLaw 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
collaboratesWith Division of Corporation Finance
Division of Enforcement
Office of Compliance Inspections and Examinations
country United States of America
surface form: 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 government
surface form: 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 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
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

How these facts were elicited

Referenced by (4)

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

Securities and Exchange Commission hasPart Division of Investment Management
Investment Company Act of 1940 enforcementBy Division of Investment Management
this entity surface form: SEC Division of Investment Management
Office of Asset Management supports Division of Investment Management
Division of Trading and Markets of the SEC worksWith Division of Investment Management
subject surface form: Division of Trading and Markets