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Spring 2012
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Mutual Fund & Invstmt Reg (LAW-823-001)
Choi, Ragen

Meets: 11:30 AM - 01:20 PM (W) - Room 103

Enrolled: 5 / Limit: 14


There are no notices at this time.


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.

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.


Federal Securities Laws Statutes, Coffee, Seligman & Sale, ISBN: 9781599418315, 2010, Foundation

First Class Readings

Not available at this time.


The syllabus is available in the following format(s):