Online CLE | CLE Credits Online | Online CLE Courses | ALI-CLE.org
Online Library

Back to Results Back to Results

Investment Company Regulation and Compliance--2006

These materials cover the core principles of the Investment Company Act of 1940 ("1940 Act"), as well as the latest regulatory and Internet developments, the newest products, and significant recent legislation. among other topics, these materials address legal considerations in forming a mutual fund, electronic distribution and marketing of mutual funds, investment company sales literature and advertising, privacy, recordkeeping, SEC investigations and enforcement actions, and more. CH097

Purchase this digital coursebook for: $125.00 Add to Cart

Click here to learn about
Coursebook Subscriptions by Practice Area

Coursebook Papers:

Table of Contents

Overview of Regulation of Investment Companies (6 pp)

What Is an Investment Company? (18 pp) $29.00

Preview Document (PDF) Add to Cart


Legal Considerations in Forming a Mutual Fund (26 pp) $29.00

Preview Document (PDF) Add to Cart


Investment Company Structures (3 pp)

Registering Investment Companies under Form N-1A (32 pp) $29.00

Preview Document (PDF) Add to Cart


Mutual Fund Shareholder Reports (16 pp) $29.00

Preview Document (PDF) Add to Cart


Mutual Fund Distribution (44 pp) $29.00

Preview Document (PDF) Add to Cart


Electronic Distribution and Marketing of Mutual Funds (42 pp) $29.00

Preview Document (PDF) Add to Cart


Investment Company Sales Literature and Advertising (26 pp) $29.00

Preview Document (PDF) Add to Cart


Valuation of Portfolio Securities: Good Practices and Procedures (26 pp) $29.00

Preview Document (PDF) Add to Cart


Best Execution, Section 28(e), and Soft Dollar Practices and Procedures (14 pp) $29.00

Preview Document (PDF) Add to Cart


Limitations of Investment Activities (10 pp) $29.00

Preview Document (PDF) Add to Cart


Privacy (18 pp) $29.00

Preview Document (PDF) Add to Cart


Anti-Money Laundering (24 pp) $29.00

Preview Document (PDF) Add to Cart


Transactions Involving Affiliates (16 pp) $29.00

Preview Document (PDF) Add to Cart


Personal Securities Transactions and Trade Allocation Practices (10 pp) $29.00

Preview Document (PDF) Add to Cart


Subchapter M - Regulated Investment Companies (14 pp) $29.00

Preview Document (PDF) Add to Cart


Derivatives (14 pp) $29.00

Preview Document (PDF) Add to Cart


Service Contracts (14 pp) $29.00

Preview Document (PDF) Add to Cart


Books and Records (10 pp) $29.00

Preview Document (PDF) Add to Cart


Boards of Directors of Registered Investment Companies (36 pp) $29.00

Preview Document (PDF) Add to Cart


Shareholder Meetings and Shareholder Voting (22 pp) $29.00

Preview Document (PDF) Add to Cart


Role of Legal Counsel and Ethical Considerations of Counsel (32 pp) $29.00

Preview Document (PDF) Add to Cart


Orders and Interpretive/No-Action Letters (6 pp)

SEC Inspections and Investigations (12 pp) $29.00

Preview Document (PDF) Add to Cart


SEC Investigations and Enforcement Actions (8 pp) $29.00

Preview Document (PDF) Add to Cart


An Update on the SEC's Examination Program (12 pp) $29.00

Preview Document (PDF) Add to Cart


Morgan Lewis Memorandum of Regulatory Developments (May 1, 2005) (40 pp) $29.00

Preview Document (PDF) Add to Cart


Compliance Programs of Investment Companies and Investment Advisers (26 pp) $29.00

Preview Document (PDF) Add to Cart


Speeches by SEC Staff (48 pp) $29.00

Preview Document (PDF) Add to Cart


Course Materials Subscription

Purchase a course materials subscription and get this book and many more for one low price. The above course materials are part of the following Practice Area subscriptions:

Coursebook Subscription - Securities
Price: $399.00 Add to Cart

To view a complete list of course materials included in each subscription, click the practice area you are interested in.