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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

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

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Investment Company Structures (6 pp) $29.00
By Philip H. Newman

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

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Registering Investment Companies under Form N-1A (32 pp) $29.00
By W. John McGuire

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

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Mutual Fund Distribution (48 pp) $29.00
By Stephen J. Shenkenberg

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Investment Company Sales Literature and Advertising (32 pp) $29.00
By Philip H. Newman

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

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Limitations of Investment Activities (12 pp) $29.00
By Stephen J. Shenkenberg

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

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

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

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

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Subchapter M -- Regulated Investment Companies (18 pp) $29.00

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Books and Records (10 pp) $29.00
By Stephen J. Shenkenberg

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Service Contracts (14 pp) $29.00
By David S. Goldstein

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

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

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Boards of Directors of Registered Investment Companies (40 pp) $29.00
By Philip H. Newman

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Role of Legal Counsel and Ethical Considerations of Counsel in Advising Registered Investment Companies (30 pp) $29.00
By W. John McGuire

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Shareholder Meetings and Shareholder Voting (24 pp) $29.00
By W. John McGuire

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

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Derivatives (16 pp) $29.00
By Robert G. Bagnall

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Speech by SEC Staff: If I were a Director of a Fund Investing in Derivatives -- Key Areas of Risk on Which I Would Focus (12 pp) $29.00

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SEC Inspections and Investigations (10 pp) $29.00
By Barbara Brooke Manning

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

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How Franklin Templeton Manages an SEC Examination (10 pp) $29.00
By Karen L. Skidmore

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Examples of Effective Compliance Monitoring and Change Control Processes (4 pp) $29.00
By Karen L. Skidmore Barbara Brooke Manning

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Speech by SEC Staff: Focus Areas in SEC Examinations of Investment Advisers: The Top 10 (10 pp) $29.00
By Karen L. Skidmore

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Speech by SEC Staff: Working Towards a Culture of Compliance: Some Obstacles in the Path (12 pp) $29.00
By Karen L. Skidmore

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SEC CCOutreach National Seminar: Forensic Measures for Funds and Advisers (10 pp) $29.00
By Karen L. Skidmore

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SEC Compliance Alert: June 2007 (12 pp) $29.00
By Karen L. Skidmore

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SEC CCOutreach 2007 Regional Seminars (22 pp) $29.00
By Karen L. Skidmore

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SEC Outline: Questions Advisers Should Ask While Establishing or Reviewing Their Compliance Programs (22 pp) $29.00
By Karen L. Skidmore

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Examiner Oversight of 'Annual' Reviews Conducted by Advisers and Funds (12 pp) $29.00

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Assessing the Adequacy and Effectiveness of a Fund's Compliance Policies and Procedures (24 pp) $29.00
By Karen L. Skidmore

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Investment Company Act of 1940 and Investment Advisers Act of 1940 (Handout) (106 pp) $49.00

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Charts Illustrating Control of Affiliates (Handout) (4 pp) $29.00

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