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Investment Company Regulation and Compliance

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Coursebook Papers:

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 (30 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 (34 pp) $29.00
By W. John McGuire

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Mutual Fund Shareholder Reports (16 pp) $29.00
By W. John McGuire

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Mutual Fund Distribution (50 pp) $29.00
By W. John McGuire

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Investment Company Sales Literature and Advertising (36 pp) $29.00
By Philip H. Newman

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The Electronic Distribution and Marketing of Mutual Funds (54 pp) $39.00

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Derivatives (16 pp) $29.00
By Alison M. Fuller, Esquire

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Derivatives Risk/Oversight/Compliance United States Investment Companies (8 pp) $29.00
By Wylie Tollette

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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 (14 pp) $29.00
By Karen L. Skidmore

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Assess the Risks: Key Strategies for Overseeing Derivatives (34 pp) $29.00
By Karen L. Skidmore

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Board Oversight of Derivatives: Independent Directors Council Task Force Report, July 2008 (58 pp) $39.00
By Karen L. Skidmore

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Board Oversight of Fund Compliance: Independent Directors Council Task Force Report, September 2009 (42 pp) $29.00
By Karen L. Skidmore

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Books and Records (12 pp) $29.00
By Stephen J. Shenkenberg

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

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Service Contracts (14 pp) $29.00
By Thomas S. Harman

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An Institutional Trade (4 pp) $29.00
By Thomas S. Harman

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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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Privacy (20 pp) $29.00
By Robert G. Bagnall

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Anti-Money Laundering and OFAC Screening (26 pp) $29.00
By Robert G. Bagnall

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

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Limitations of Investment Activities (16 pp) $29.00
By Stephen J. Shenkenberg

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Valuing Investment Company Portfolio Securities (20 pp) $29.00
By Lawrence A. Friend

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Valuation of Portfolio Securities: Good Practices and Procedures (20 pp) $29.00
By Lawrence A. Friend

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Subchapter M – Regulated Investment Companies (14 pp) $29.00
By Lawrence A. Friend

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Boards of Directors of Registered Investment Companies (44 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 Marguerite C. Bateman

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Shareholder Meetings and Shareholder Voting (26 pp) $29.00
By Robert G. Bagnall

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SEC Inspections, Investigations and Enforcement Actions (14 pp) $29.00
By Barbara Brooke Manning

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Assessing the Adequacy and Effectiveness of a Fund’s Compliance Policies and Procedures (28 pp) $29.00
By Karen L. Skidmore

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Speech by SEC Staff: Remarks at the CCOutreach National Seminar (6 pp) $29.00
By Karen L. Skidmore

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Speech by SEC Staff: Compliance in Today’s Environment: Step Up to the Challenge (10 pp) $29.00
By Karen L. Skidmore

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Investment Advisers, Mutual Funds and Hedge Funds: Enforcement Trends and Themes (68 pp) $39.00
By Robert G. Bagnall

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

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Speech by SEC Staff: The Role That Surveillance Might Play in the Risk-Based Oversight of Mutual Funds (12 pp) $29.00
By Karen L. Skidmore

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Mutual Fund Distribution-supplemental material (28 pp) $29.00
By Stephen J. Shenkenberg

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An Institutional Equity Trade-supplemental material (4 pp) $29.00
By Stephen J. Shenkenberg

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Valuation--supplemental material (8 pp) $29.00
By Lawrence A. Friend

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Electronic Distribution by Mutual Funds--supplemental material (12 pp) $29.00

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Transactions with Affiliates--supplemental material (8 pp) $29.00
By Elizabeth G. Osterman

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