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7816 - Investment Management Law
Professor: Paul Rose
Semester: 2013 Spring
Second Writing Requirement? No
Professional Responsibility? No
Prerequisites: Business Associations
Means of Assessment: Exam
Special Notes: Suggested concurrent or prior courses: Securities Regulation; Corporate Finance
This course examines the law of broker/dealers, investment companies, investment advisers, mutual funds, pension funds, hedge funds, private equity funds, and other institutional investors. In 1950, individual investors owned approximately 90%, and institutional investors 10%, of most large, publicly traded companies. Now, institutional investors own two-thirds or more of these same types of companies. As the securities markets become more and more intermediated, with institutional investors managing a growing share of America's wealth, regulation of institutional investors is expanding and becoming increasingly complex. As a result, lawyers are increasingly being called on to help these institutions navigate these regulations. This course will study these regulations, including the Securities Exchange Act (1934), the Investment Advisors Act (1940), the Investment Company Act (1940), or the Employee Retirement Income Security Act (1974). Business Associations is a prerequisite for the course (except with instructor approval).
The course materials listed above are for informational purposes only and should not be considered final. Students must check with the Registrar for a current list of closed courses.