Date of Award
Master of Science (MS)
Economics, Finance, & Accounting
Dr. Milburn Little
In recent years there has been considerable controversy involving the mutual fund industry. The Securities Exchange Commission has proposed new legislation for the mutual funds. It is the purpose of this study to evaluate the present status of mutual funds to determine if the additional legislation is needed. Information for this paper was gathered from books and periodicals found in Forsythe Library at Fort Hays State and from information furnished by the Investment Company Institute. The first section of this paper contains a definition of mutual funds and an explanation of how they operate. The second chapter shows the economic power of mutual funds including their impact on stock prices and their potential for gaining control of corporations in which they invest. The remainder of this study is concerned with the regulation of mutual funds including both present and proposed legislation, the SEC's reasons for new legislation, and the mutual fund's response to the Commission's charges.
Copyright 1969 David Joel Isern
Isern, David Joel, "The Regulation and Control of Mutual Funds" (1969). Master's Theses. 1212.