Spring 2019 Course Schedule

Mutual Fund & Investment Advising Regulation (CANCELLED) (LAW-823-001)
Jennifer Choi, Lisa Ragen


Enrolled: / Limit:

Administrator Access


There are no notices at this time.


Regulation of Mutual Funds and Investment Advisers is an advanced course in securities regulation. This class focuses on the regulation of mutual funds under the Investment Company Act of 1940, and investment advisers under the Investment Advisers Act of 1940. We will focus on the legal structure of investment companies, the special restrictions on their operation, and the relationships of investment advisers to the investment companies and other clients they advise. The course begins by addressing important threshold questions of what is an investment company or investment adviser. The course will then examine requirements of SEC registration, including disclosures and advertisements, the regulation of conflicts of interest, governance, distribution channels, fees, and other aspects of fund and adviser operations. The course includes a discussion of the hot topics of the day in investment management law, such as Exchange Traded Funds, fiduciary standards for money managers, and the continuing effect of the 2010 Dodd-Frank Act on the money management industry.

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 to determine if books are currently available for purchase online.

First Class Readings

Not available at this time.