Archive for May 2nd, 2017

May 2, 2017

Facciolo Speaks at PLI

On April 20, Professor Jay Facciolo was the opening speaker at PLI’s “Basics of Mutual Funds and Other Registered Investment Companies.”


His presentation provided an over view of the themes of the day, including the unique balance of disclosure and substantive regulation that make up this area of securities regulation, as well discussing the structure of a typical registered investment company, the regulatory scheme and its various players, and a quick history of regulation over the past 75 years. There were 40 in-person attendees and 290 webcast attendees.

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