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Get the free Division of Investment Management No-Action Letter ... - SEC.gov - sec

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Division of investment management is a regulatory filing required by the Securities and Exchange Commission (SEC) for certain investment advisors.
Investment advisors who meet certain criteria set by the SEC are required to file division of investment management.
Division of investment management can be filled out electronically through the SEC's Investment Adviser Registration Depository (IARD) system.
The purpose of division of investment management is to provide the SEC with important information about an investment advisor's business practices and potential conflicts of interest.
Information such as assets under management, types of clients, and potential conflicts of interest must be reported on division of investment management.
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