Trends in the Regulation of Investment Companies and Investment Advisers

Authors

Tamar Frankel, Boston University School of LawFollow

Author granted license

Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International

Document Type

Article

Publication Date

Winter 1999

ISSN

1523-5513

Publisher

Villanova Journal of Law and Investment Management

Language

en-US

Abstract

Statutes, rules and enforcement actions are tea leaves we can read to predict future trends of mutual fund regulation. While statutes and rules are specific, the trends they signify are far more speculative. This Essay engages in such speculation to envision the long-term implications of the recent new N- 1A disclosure form, I the plain English Rule,² and the profile. ³ More generally, the Essay speculates on future trends in Securities and Exchange Commission ("Commission") enforcement, and predicts a continued and stronger use of informal enforcement by the Commission.

Recommended Citation

Tamar Frankel, Trends in the Regulation of Investment Companies and Investment Advisers , in 1 Villanova Journal of Law and Investment Management 3 (1999).
Available at: https://scholarship.law.bu.edu/faculty_scholarship/3028