[Code of Federal Regulations]
[Title 17, Volume 2]
[Revised as of April 1, 2001]
From the U.S. Government Printing Office via GPO Access
[CITE: 17CFR200.20b]

[Page 16-17]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER II--SECURITIES AND EXCHANGE COMMISSION
 
PART 200--ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS--Table of Contents
 
             Subpart A--Organization and Program Management
 
Sec. 200.20b  Director of Division of Investment Management.

    The Director of the Division of Investment Management is responsible 
to the Commission for the administration of the Commission's 
responsibilities under the Investment Company Act of 1940 and the 
Investment Advisers Act of 1940, the administration and execution of the 
Public Utility Holding Company Act of 1935, and with respect to matters 
pertaining to investment companies registered under the Investment 
Company Act of 1940 and pooled investment funds or accounts, the 
administration of all matters relating to establishing and requiring 
adherence to standards of economic and financial reporting and the 
administration of fair disclosure and related matters under the 
Securities Act of 1933 and the Securities Exchange Act of 1934 and 
enforcement of the standards set forth in the Trust Indenture Act of 
1939 regarding indentures covering debt securities, as listed in 
paragraphs (a) through (e) of this section. These duties shall include 
inspections arising in connection with such administration but shall 
exclude enforcement and related activities under the jurisdiction of the 
Division of Enforcement.
    (a) The administration of all matters arising under the Investment 
Company Act of 1940 (15 U.S.C. 80a-1 et seq.), except those arising 
under section 30(f) of the Act (15 U.S.C. 80a-29(f)).
    (b) All matters arising under the Securities Act of 1933 (15 U.S.C. 
77a et seq.) arising from or pertaining to material field pursuant to 
the requirements of that Act by investment companies registered under 
the Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq.) and pooled 
investment funds or accounts.
    (c) All matters arising under the Securities Exchange Act of 1934 
(15 U.S.C. 78a et seq.), except the examination and processing of 
statements of beneficial ownership of securities and changes in such 
ownership filed under section 16(a)

[[Page 17]]

(15 U.S.C. 78p(a)) of such Act, pertaining to investment companies 
registered under the Investment Company Act of 1940 and pooled 
investment funds or accounts in connection with:
    (1) The registration of securities pursuant to section 12 of the Act 
(15 U.S.C. 78l), including the exemptive provisions of section 12(h) (15 
U.S.C. 78l(h)).
    (2) The examination and processing of periodic reports filed 
pursuant to sections 13 and 15(d) of the Act (15 U.S.C. 78m, 78o(d)).
    (3) The examination and processing of proxy soliciting material 
filed pursuant to section 14(a) and information material filed pursuant 
to section 14(c) of the Act (15 U.S.C. 78n(a), 78n(c)).
    (d) All matters pertaining to investment companies registered under 
the Investment Company Act of 1940 and pooled investment funds or 
accounts arising under the Trust Indenture Act of 1939 (15 U.S.C. 77aaa 
et seq.).
    (e) All matters arising under the Investment Advisers Act of 1940 
(15 U.S.C. 80b-1 et seq.).
    (f) The administration and execution of the Public Utility Holding 
Company Act of 1935 in connection with:
    (1) The administration and processing of proxy solicitation material 
subject to Secs. 240.14a-1--240.14a-14 of this chapter.
    (2) The examination and processing of ownership reports filed under 
section 17(a) of the Act (15 U.S.C. 79q(a)).

[41 FR 29375, July 16, 1976, as amended at 50 FR 5064, Feb. 5, 1985; 60 
FR 14626, Mar. 20, 1995]