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Investment Management Regulation--2006

These materials are designed for private practitioners, corporate counsel, and compliance personnel who deal with mutual funds and related investment vehicles. They cover developments in investment management regulation, recent regulatory initiatives affecting the mutual fund industry, and alternative investment vehicles such as hedge funds. The active participation of SEC and NASD representatives is one of the reasons that this course has become one of the leading conferences for those seeking to stay current with legal developments in this area. CM035

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Coursebook Papers:

Table of Contents

Outline of Recent SEC Enforcement Actions (42 pp) $29.00

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Recent NASD Enforcement Actions (24 pp) $29.00

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Exchange Traded Funds (8 pp) $29.00

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Organization of a Private Investment Fund: Basic Structural and Legal Issues (44 pp) $29.00

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Recent Regulatory Developments Affecting Private Funds (66 pp) $39.00

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Comment Letter Regarding Client Comission Practices Under Section 28(e) of the Securities Exchange Act of 1934 (8 pp) $29.00

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Implementation of Rule 22c-2 (22 pp) $29.00

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Current Variable Insurance Product Trends and Issues (40 pp) $29.00

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Asset Allocation Programs and Funds of Funds in Variable Insurance Products (16 pp) $29.00

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Distribution of Mutual Funds (18 pp) $29.00

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Developments in Ethics in Transactional Practice (10 pp) $29.00

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Section 529 Plans: Overview and Recent Developments (58 pp) $39.00

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New Bank Securities Activities, Mutual Fund, and Common Trust Provisions of the Gramm-Leach-Bliley Act (44 pp) $29.00

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Some New Developments in Bank Securities Regulation (7 pp) $29.00

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Coursebook Subscription - Securities
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