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Casebook Read Credits
Regulation of Financial Institutions – Fall 2014
Section 4 . 7

Class Twenty-One -- October 31, 2014

Howell E. Jackson

In class on Friday, we will turn to disclosure in the context of investment companies, looking first the Excerpt on SEC Concept Release from Chapter Thirteen and the Policy Memorandum on Target Date Funds. We will then discuss the mutual fund trading scandal and the Research Paper on Director Duties with Respect to the Fair Valuation of Securities (December 2013). We will conclude with a discussion of money market mutual funds, looking first at the Excerpt on Background on MMMF Regulation from Chapter Thirteen and then the FSOC Proposed Recommendations on Money Market Mutual Funds from 2012. (For these final readings, you should skim the Background Excerpt and focus on the Executive Summary of the FSOC Recommendations.)

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