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Investment Company Regulation and Compliance

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Table of Contents

Overview of Regulation of Investment Companies (6 pp) $29.00
By Thomas S. Harman, Esquire

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What is an Investment Company? (18 pp) $29.00
By Elizabeth G. Osterman, Esquire

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Legal Considerations in Forming a Mutual Fund (26 pp) $29.00
By Philip H. Newman, Esquire

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Investment Company Structures (6 pp) By Philip H. Newman, Esquire

Registering Investment Companies Under Form N-1A (30 pp) $29.00
By W. John McGuire, Esquire

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Mutual Fund Shareholder Reports (16 pp) $29.00
By Robert G. Bagnall, Esquire

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Mutual Fund Distribution (42 pp) $29.00
By Stephen J. Shenkenberg, Esquire

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The Electronic Distribution and Marketing of Mutual Funds (34 pp) $29.00
By Alexander C. Gavis, Esquire

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Investment Company Sales Literature and Advertising (28 pp) $29.00
By Philip H. Newman, Esquire

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Valuation of Portfolio Securities: Good Practices and Procedures (24 pp) $29.00
By Lawrence A. Friend, CPA

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Best Execution Section 28(e) and Soft Dollar Practices and Procedures (14 pp) $29.00
By Barbara Brooke Manning, Esquire

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Limitations of Investment Activities (10 pp) $29.00
By Peter A. Ambrosini, Esquire Stephen J. Shenkenberg, Esquire

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Privacy (18 pp) $29.00
By Robert G. Bagnall, Esquire

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Anti-Money Laundering (24 pp) $29.00
By Robert G. Bagnall, Esquire

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Transactions Involving Affiliates (10 pp) $29.00
By Thomas S. Harman, Esquire

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Affiliated Transactions (4 pp) $29.00
By Elizabeth G. Osterman, Esquire

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Personal Securities Transactions and Trade Allocation Practices (10 pp) $29.00
By Barbara Brooke Manning, Esquire

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Subchapter M - Regulated Investment Companies (16 pp) $29.00
By Lawrence A. Friend, CPA

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Derivatives (14 pp) $29.00
By Peter A. Ambrosini, Esquire Stephen J. Shenkenberg, Esquire

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Service Contracts (14 pp) $29.00
By Peter A. Ambrosini, Esquire Stephen J. Shenkenberg, Esquire

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Books and Records (10 pp) $29.00
By Peter A. Ambrosini, Esquire Stephen J. Shenkenberg, Esquire

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Boards of Directors of Registered Investment Companies (34 pp) $29.00
By Philip H. Newman, Esquire

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Shareholder Meetings and Shareholder Voting (22 pp) $29.00
By W. John McGuire, Esquire

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Role of Legal Counsel and Ethical Considerations of Counsel in Advising Registered Investment Companies (30 pp) $29.00
By Julie Allecta, Esquire

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Orders and Interpretive/No-Action Letters (6 pp) $29.00
By Elizabeth G. Osterman, Esquire

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SEC Inspections and Investigations (10 pp) $29.00
By Peter A. Ambrosini, Esquire Prufesh R. Modhera, Esquire

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SEC Investigations and Enforcement Actions (8 pp) $29.00
By Barbara Brooke Manning, Esquire

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

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Memorandum of Regulatory Developments (38 pp) $29.00
By Thomas S. Harman, Esquire

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Compliance Programs of Investment Companies and Investment Advisers (22 pp) $29.00
By Thomas S. Harman, Esquire

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Speeches by SEC Staff (57 pp) $39.00

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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

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