Securities And Exchange Commission Sec Division Of Investment Management


Definition of "Securities and exchange commission (sec) division of investment management"

RHONDA  COLON
RHONDA COLON Keller Williams Heritage Realty

One of four SEC divisions charged with regulating investment companies, investment advisers, and variable insurance products. The SEC requires variable insurance products to register with the SEC by filing a registration statement. This statement must include a prospectus, financial statement, exhibits, and a statement of any additional relevant information. This division is permitted to provide interpretive advice for laws and rulings that may seem to be unclear. This division also has the authority to grant exemptions from the SEC laws and rules if the insurance product does not fit within the regulatory parameters that it administers.

Have a question or comment? We're here to help.

 
 
 
*** Your email address will remain confidential.
 
 

Search Real Estate Terms

Popular Real Estate Terms

Popular Real Estate FAQ