LAW 843 - Investment Management Regulation

This course is designed to familiarize students with the legal and regulatory framework of the investment management industry, focusing primarily on the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the regulations under each. Topics of study include the reach of federal investment management regulation, the registration and regulation of investment advisers, and the regulation of the operation, management, and distribution of mutual funds, ETFs, and other pooled investment vehicles. The course will also examine how the SEC and its Division of Investment Management regulate the investment management industry as well as the role of compliance professionals and private counsel in ensuring regulated entities and investment professionals comply with their regulatory obligations.