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Regulating the Mutual Fund Industry

Brooklyn Journal of Corporate Finance and Commercial Law, Vol. 1, pp. 11-44, 2006

34 Pages Posted: 29 May 2008  

Donna M. Nagy

Indiana University Maurer School of Law


With virtually every other household in the United States invested in mutual funds, effective and efficient regulation of the mutual fund industry must be a top national priority. But the creation of a new private regulator - whether along the lines of SROs such as the NASD and NYSE or the recently created PCAOB - would be a step in the wrong direction. Instead, much more can be gained from strengthening the SEC's longstanding role as the principal overseer of mutual funds and improving other aspects of the existing regulatory regime.

Keywords: mutual funds, self-regulatory organizations, PCAOB, Securities and Exchange Commission

Suggested Citation

Nagy, Donna M., Regulating the Mutual Fund Industry. Available at SSRN:

Donna M. Nagy (Contact Author)

Indiana University Maurer School of Law ( email )

211 S. Indiana Avenue
Bloomington, IN 47405
United States

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