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Regulation of Mutual Funds and Investment Advisers is an advanced course in securities regulation. We will focus on the legal structure of investment companies ("mutual funds"), the special restrictions on their operation, and the relationships of investment advisers to mutual funds and other clients they advise.
Securities Regulation is a prerequisite for the course. Students can contact the professors for permission to take the class if they are intending to take Securities Regulation during the same semester.>
Textbooks and Other Materials
The textbook information on this page was provided by the instructor. Students should use this information when considering purchases from the AU Campus Store or other vendors. Students may check here to determine if books are currently available for purchase at the AU Campus Store.
First Class Readings
Not available at this time.
The syllabus is available in the following format(s):