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Investment Management Products: Mutual Funds and Beyond

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Coursebook Papers:

Table of Contents

Overview of the Proposal To Amend Rule 19a-1 under the Investment Company Act of 1940 (6 pp) $29.00
By Janna Manes

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Investment Company Institute Proposal To Amend Rule 19a-1 under the Investment Company Act of 1940 (12 pp) $29.00
By Janna Manes

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Brokerage and Soft Dollar Summary and Update (10 pp) $29.00

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Letter from SEC Regarding Examination Pursuant to Section 204 of the Investment Advisers Act of 1940 (36 pp) $29.00

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Mandatory E-Proxy Rules (8 pp) $29.00
By Rose F. DiMartino

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Proxy Rules in Cyberspace (14 pp) $29.00

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Mutual Fund Governance: Legal Requirements and Industry Guidance (56 pp) $39.00
By Christopher E. Palmer

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The Attorney-Client Privilege and SEC Examinations: To Waive or Not To Waive? (16 pp) $29.00
By Jay G. Baris

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Current Variable Insurance Product Trends and Issues (60 pp) $39.00

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Exchange Traded Funds - An ETF Primer: Trends in ETFs and ETF-like Vehicles (14 pp) $29.00

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ERISA Issues for Mutual Fund Advisers (26 pp) $29.00
By William A. Schmidt

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A Brief Outline of Certain Current Developments Affecting Managers of Hedge Funds (14 pp) $29.00

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Organization of a Private Investment Fund: Basic Structural and Legal Issues (46 pp) $29.00
By Peter M. Rosenblum

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Coursebook Subscription - Securities
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