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The Rise of Mutual FundsAn Insider's View$
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Matthew P. Fink

Print publication date: 2008

Print ISBN-13: 9780195336450

Published to Oxford Scholarship Online: January 2009

DOI: 10.1093/acprof:oso/9780195336450.001.0001

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Updating Other Regulation

Updating Other Regulation

(p.195) 10 Updating Other Regulation
The Rise of Mutual Funds

Matthew P. Fink

Oxford University Press

The vast changes in the fund industry during the bull market of 1982-2000 led the industry to seek changes in laws, in addition to the federal securities laws, that impacted the industry. Against all odds, the industry was successful in obtaining federal legislation that ended state regulation of mutual funds. The industry also was successful in obtaining modernization of provisions of Subchapter M of the Internal Revenue Code governing the taxation of mutual funds and their shareholders. However, federal pension law and regulation were not updated to take account of the major shift to 401(k) and other types of defined contribution plans.

Keywords:   state regulation, Internal Revenue Code, Subchapter M, pension law, 401(k) plans, defined contribution plans

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