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NORTHSTAR FINANCIAL ADVISORS v. SCHWAB INVESTMENTS

No. 11-17187.

779 F.3d 1036 (2015)

NORTHSTAR FINANCIAL ADVISORS INC., on behalf of itself and all others similarly situated, Plaintiff-Appellant, v. SCHWAB INVESTMENTS; Mariann Byerwalter, Donald F. Dorward, William A. Hasler, Robert G. Holmes, Gerald B. Smith, Donald R. Stephens, Michael W. Wilsey, Charles R. Schwab, Randall W. Merk, Joseph H. Wender and John F. Cogan, as Trustees of Schwab Investments; and Charles Schwab Investment Management, Inc., Defendants-Appellees.

United States Court of Appeals, Ninth Circuit.

Filed March 9, 2015.

Attorney(s) appearing for the Case

Robert C. Finkel (argued), Wolf Popper LLP, New York, N.Y.; Joseph J. Tabacco, Jr. , Christopher T. Heffelinger , and Anthony D. Phillips , Berman DeValerio , San Francisco, CA; Marc J. Gross , Greenbaum Rowe Smith & Davis LLP, Roseland, NJ, for Plaintiff-Appellant.

Karin Kramer and Arthur M. Roberts , Quinn Emanuel Urquhart & Sullivan, LLP, San Francisco, CA; Richard Schirtzer (argued), Susan R. Estrich , and B. Dylan Proctor , Quinn Emanuel Urquhart & Sullivan, LLP, Los Angeles, CA, for Defendants-Appellees.

Before: RICHARD R. CLIFTON and CARLOS T. BEA, Circuit Judges, and EDWARD R. KORMAN, Senior District Judge.

OPINION

The Investment Company Act ("ICA") establishes a comprehensive federal regulatory framework applicable to mutual funds. See 15 U.S.C. § 80a-1 et seq. More specifically, it provides that a mutual fund's registration statement must recite all investment policies that can be changed only...

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