Course Details

Mutual Fund Regulation

The course provides students with a working knowledge of mutual funds, as well as hedge funds, from a legal and practical perspective. While we pay particular attention to the Investment Company Act of 1940 and the Investment Advisers Act of 1940, the course supplements this analysis of this regulatory framework with guest speakers and regular reviews of press articles and advertisements appearing in the financial media. The course covers issues relating to fund organization and distribution, rights of shareholders, investment performance, advisory fees and expenses, governance, including the independence of directors, trading practices and compliance matters. We will examine the roles of independent counsel to the fund and its disinterested directors, in-house counsel to the fund's investment adviser, and special counsel in acquisitions and governmental investigations. There will be an emphasis on real-world situations currently faced by mutual fund managements and their counsel. The course will conclude with a written take-home paper (1 or 2 drafts depending on the number of credits for which the course is being taken). The paper topic will be assigned by the professors. Students who would like to complete the 2 draft writing requirement and earn one additional credit hour in this course will be able to self-enroll in the associated LAWWRT 602 Section 13 course section (class nbr 18794) during open enrollment August 26-September 25, 2015. Please note: 3-draft papers will not be an option.

Catalog Number: BUSCOM 680
Practice Areas: Administrative Law & GovtBusiness, Corporate,Trans AreaCommercial Practice Area
Additional Course Information: Research Writing


Course History

Fall 2017
Title: Mutual Fund Regulation
Faculty: Dykstra, Paul H. (courses | profile)
Pike, Paulita (courses | profile)
Section: 1     Credits: 3.0
Capacity: 25     Actual: 6

Fall 2015
Title: Mutual Fund Regulation
Faculty: Dykstra, Paul H. (courses | profile)
Pike, Paulita (courses | profile)
Section: 1     Credits: 3.0
Capacity: 25     Actual: 11

Fall 2014
Title: Mutual Fund Regulation
Faculty: Dykstra, Paul H. (courses | profile)
Pike, Paulita (courses | profile)
Section: 1     Credits: 3.0
Capacity: 25     Actual: 18