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Mutual Fund 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 (48 pp) $29.00
By W. John McGuire

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

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Electronic Distribution by Mutual Funds (8 pp) $29.00
By Alexander C. Gavis

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Electronic Advertising and Social Media Use by Mutual Funds (10 pp) $29.00
By Alexander C. Gavis

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Investment Company Sales Literature and Advertising (40 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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Legal Considerations in Forming a Mutual Fund (30 pp) $29.00
By Philip H. Newman

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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 Marguerite C. Bateman

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Shareholder Meetings and Shareholder Voting (26 pp) $29.00
By Darrell Braman

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SEC Task Force Training: Affiliated/Cross/Principal Transactions (10 pp) $29.00
By Thomas S. Harman

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Valuing Investment Company Portfolio Securities (22 pp) $29.00
By David G. Chrencik, 2d

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Valuation of Portfolio Securities: Guide to Best Practices and Procedures (22 pp) $29.00
By David G. Chrencik, 2d

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Taxation of Regulated Investment Companies Under Subchapter M of the Internal Revenue Code (16 pp) $29.00
By David G. Chrencik, 2d

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

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

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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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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, 2011-2012 (18 pp) $29.00
By Christian J. Mixter, Esquire

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Speech by SEC Staff: The Role of Compliance and Ethics in Risk Management (6 pp) $29.00
By Barbara Brooke Manning

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Speech by SEC Staff: Remarks at the Compliance Outreach Program (6 pp) $29.00
By Barbara Brooke Manning

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Speech by SEC Staff: Remarks at the CCOutreach National Seminar (8 pp) $29.00
By Barbara Brooke Manning

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Speech by SEC Staff: Remarks at the IA Watch Annual IA Compliance Best Practices Seminar (8 pp) $29.00
By Barbara Brooke Manning

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Derivatives and Investment Companies (20 pp) $29.00
By Alison M. Fuller, Esquire

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Variable Insurance Funds 101: An Introduction to the Special Regulatory and Compliance Features of Mutual Funds Offered in Variable Insurance Products (48 pp) $29.00
By Ruth S. Epstein

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Exchange-Traded Funds (8 pp) $29.00
By W. John McGuire

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Why has derivatives usage grown in Registered Funds?--supplemental material (8 pp) $29.00
By Wylie Tollette

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Taxation of Regulated Investment Companies-supplemental material (24 pp) $29.00
By David G. Chrencik, 2d

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An Institutional Equity Trade-supplemental material (10 pp) $29.00
By Stephen J. Shenkenberg

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The Compliance Environment at T. Rowe price Group-supplemental material (4 pp) $29.00
By Karen L. Skidmore

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Valuation-supplemental material (14 pp) $29.00
By David G. Chrencik, 2d

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

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REVISED Variable Insurance Funds 101-supplemental material (18 pp) $29.00
By Ruth S. Epstein

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5% Tests-supplemental material (8 pp) $29.00
By Thomas S. Harman

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Fund Mergers and Reorganizations Performance Survivor Criteria-supplemental material (6 pp) $29.00
By David G. Chrencik, 2d

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Table of Contents (14 pp)