Investment Management Regulation

This course will cover the law of investment management regulation relating to pooled investment funds such as investment companies and hedge funds. The focus of the course will be on relevant portions of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 subjecting funds to SEC regulation, and the general regulation of mutual funds and similar vehicles.

Grading and Method of Evaluation:
Letter grade only. Final exam.

• Corporations