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Investment Company
Regulation and Compliance

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Coursebook Papers:

Table of Contents

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 W. John McGuire

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

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The Electronic Distribution and Marketing of Mutual Funds (44 pp) $29.00
By Alexander C. Gavis

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Investment Company Sales Literature and Advertising (38 pp) $29.00
By Philip H. Newman

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

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Independent Directors Council Task Force Report: Board Oversight of Derivatives (52 pp) $39.00
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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Derivatives Risk/Oversight/Compliance — US Investment Companies (8 pp) $29.00
By Wylie Tollette

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Report of ABA Task Force on Investment Company Use of Derivatives and Leverage (56 pp) $39.00
By Karen L. Skidmore

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Process Map for An Institutional Trade (4 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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Best Execution Section 28(e) and Soft Dollars Practices and Procedures (10 pp) $29.00
By Barbara Brooke Manning

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

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Valuation of Portfolio Securities: Good Practices and Procedures (20 pp) $29.00
By Thomas S. Harman

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Subchapter M – Regulated Investment Companies (32 pp) $29.00
By Lawrence A. Friend

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

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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 (14 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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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 (28 pp) $29.00
By Philip H. Newman

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Shareholder Meetings and Shareholder Voting (26 pp) $29.00
By Lawrence P. Stadulis, Esquire

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

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SEC, SRO and Private Litigation Developments Affecting Mutual Funds, Hedge Funds, and Investment Advisors, 2010-2011 (14 pp) $29.00
By Christian J. Mixter, Esquire

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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? (20 pp) $29.00
By Philip H. Newman

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Orders and Interpretive/No-Action Letters (6 pp) $29.00
By Thomas S. Harman

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Anti-Money Laundering and OFAC Screening (26 pp) $29.00
By Thomas S. Harman

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Privacy (20 pp) $29.00
By Thomas S. Harman

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Implementation of Dodd-Frank Wall Street Reform (46 pp) $29.00
By Karen L. Skidmore

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Transactions with Affiliates (12 pp) $29.00

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Electronic Distribution by Mutual Funds (22 pp) $29.00
By Alexander C. Gavis

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Valuation (12 pp) $29.00
By Lawrence A. Friend

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Collaborate-SEC Task Force Training (18 pp) $29.00
By Thomas S. Harman

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

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An Institutional Equity Trade (12 pp) $29.00
By Stephen J. Shenkenberg

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