Protecting Investors : A Half Century of Investment Company Regulation

A report by the SEC on the first half-century of the Investment Co. Act of 1940. This Act provides investors with specific protections against self-dealing, conflicts of interest, misappropriation of funds, and overreaching with respect to fees, expenses and undisclosed risks of many types. The SEC has the job of policing these and other requirements of the law. This report takes a fresh look at the regulation of investment companies to determine whether existing regulation imposed unnecessary constraints on investment companies or the provision of other financial services and whether there were gaps in investor protection. Charts and tables.Smythe, Marianne K. is the author of 'Protecting Investors : A Half Century of Investment Company Regulation', published 2002 under ISBN 9780756721367 and ISBN 0756721369.