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Investment Management Regulation--2004

These course materials cover developments in investment management regulation and, in particular, recent regulatory initiatives concerning the mutual fund industry and cross-industry activities of banks and insurance companies. CK030

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Coursebook Papers:

Organization of a Private Investment Fund: Basic Structural and Legal Issues (42 pp) $29.00

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Investment Company Corporate Governance (12 pp) $29.00

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Proposed SEC Rule – Certain Broker-Dealers Deemed Not To Be Investment Advisers (5 pp)

Proposed SEC Rule – Registration Under the Advisers Act of Certain Hedge Fund Advisers (58 pp)

Proposed SEC Rule – Certain Thrift Institutions Deemed Not To Be Investment Advisers (26 pp)

Proposed SEC Rule – Mandatory Redemption Fees for Redeemable Fund Securities (26 pp)

Proposed SEC Rule – Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies (22 pp)

Proposed SEC Rule – Confirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the Registration Form for Mutual F (80 pp)

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Coursebook Subscription - Securities
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