Regulation of Mutual Funds

This course provides an overview of federal regulation of mutual funds and investment companies generally. The course opens by examining the operation and function of mutual funds, including their organization and corporate governance issues. The remainder of the course will be devoted to analyzing mutual fund regulation under the Investment Company Act and the Investment Advisers Act, including the following topics: fiduciary duties of investment advisers, registration and disclosure, market timing, fee and load regulation, shareholder voting by mutual funds, fund management, board composition, conflicts of interest, and other ethical issues. Securities Regulation preferred but not required.

Course Schedule

  • Date: Tuesday 6:30-9:15PM
  • Location: LB 202

Course Information

  • Catalog number-Section number: 640-10
  • Course Type: Lecture
  • Prerequisites: None
  • Credits (min/max): 3/3
  • Subjects:

Enrollment

  • Enrollment status: Closed
  • Current enrollment/capacity: 18/18
  • Reserve population/capacity: 0/0
  • Waitlist enrollment/capacity: 0/20

Grading

  • Grade basis: Graded
  • Satisifies Writing Requirement: No
  • Exam type: PROCTORED