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Mutual Funds Today:
Current Issues in Fund Regulation and Compliance

Purchase this digital coursebook for: $195.00 Add to Cart

Coursebook Papers:

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 (32 pp) $29.00
By Philip H. Newman

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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 W. John McGuire

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Mutual Fund Distribution (30 pp) $29.00
By Stephen J. Shenkenberg

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Exchange-Traded Funds (6 pp) $29.00
By W. John McGuire

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Exchange Traded Funds Tracking Affiliated Indexes (4 pp) $29.00
By Ryan Louvar

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An Overview of Exchange-Traded Funds Regulation (8 pp) $29.00
By Michael W. Mundt

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Custom Creation and Redemption Baskets (6 pp) $29.00
By Barry A. Mendelson

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ETF Market Maker Incentive Programs (8 pp) $29.00
By Barry A. Mendelson

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

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Investment Company Sales Literature and Advertising (42 pp) $29.00
By Philip H. Newman

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The Electronic Distribution of Mutal Funds (20 pp) $29.00

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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 RICs (26 pp) $29.00
By Marguerite Bateman

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

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An Institutional Equity Trade (4 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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Best Execution, Sec. 28(e), and Soft Dollar Practices and Procedures (14 pp) $29.00
By Barbara Brooke Manning

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

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

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

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Derivatives Use in US Registered Funds (8 pp) $29.00
By Wylie Tollette

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

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SEC Task Force Training: Affiliated/Cross/Principal Transactions (14 pp) $29.00
By Thomas S. Harman

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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 Investment Advisers, Mutual Funds and Hedge Funds, 2012-13 (20 pp) $29.00
By Christian J. Mixter, Esquire

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Short Form Post-Harmonization Guide for 1940 Act Fund CPOs Key Harmonization Compliance Dates-supplemental material (4 pp) $29.00
By Ruth S. Epstein

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Commodity Pool Operator Regulation of 1940 Act Funds and Their Advisors-Top Five Things You Need to Know-PPT-supplemental material (14 pp) $29.00
By Ruth S. Epstein

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Electronic Communications and Social Media Use by Mutual Funds-PPT-supplemental material (28 pp) $29.00
By Danielle Nicholson-Smith

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Electronic Distribution by Mutual Funds-PPT-supplemental material (14 pp) $29.00
By Danielle Nicholson-Smith

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Mutual Fund Distribution-PPT-supplemental material (30 pp) $29.00
By Stephen J. Shenkenberg

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An Institutional Trade-PPT-supplemental material (12 pp) $29.00
By Stephen J. Shenkenberg

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Table of Contents (14 pp)