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Investment Company Regulation and Compliance--2003

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, including the USA Patriot Act, the Sarbanes-Oxley Act, privacy regulations under Gramm-Leach-Bliley, and E-SIGN. CH091

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Coursebook Papers:

Overview of Regulation of Investment Companies (2 pp) $29.00

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Legal Considerations in Forming a Mutual Fund (24 pp) $29.00

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What Is an Investment Company? (15 pp) $29.00

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Registering Investment Companies under New Form N-1A (27 pp) $29.00

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Mutual Fund Distribution (26 pp) $29.00

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The Electronic Distribution and Marketing of Mutual Funds (28 pp) $29.00

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Investment Company Sales Literature and Advertising (24 pp) $29.00

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Limitations of Investment Activities (7 pp) $29.00

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Derivatives (11 pp) $29.00

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Best Execution, Soft Dollar Practices and Procedures (11 pp) $29.00

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

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Books and Records (6 pp) $29.00

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Service Contracts (12 pp) $29.00

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Transactions Involving Affiliates (8 pp) $29.00

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Section 17(j) and Trade Allocation Practices (6 pp) $29.00

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Anti-Money Laundering (14 pp) $29.00

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Privacy (12 pp) $29.00

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Mutual Fund Shareholder Reports (12 pp) $29.00

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Advisory and Underwriting Contracts (4 pp) $29.00

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Boards of Directors of Registered Investment Companies (24 pp) $29.00

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Shareholder Meetings and Shareholder Voting (16 pp) $29.00

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Ethical Considerations of Counsel in Advising Registered Companies (28 pp) $29.00

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Exemptive Orders and No-Action Letters (3 pp) $29.00

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SEC Inspections and Investigations (8 pp) $29.00

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Compliance Program (16 pp) $29.00

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Manager of Managers Funds (5 pp) $29.00

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Fund of Funds (9 pp) $29.00

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Coursebook Subscription - Securities
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