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Mutual Funds Today:
Current Issues and Developments
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 (26 pp) $29.00
By W. John McGuire

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Mutual Fund Shareholder Reports (18 pp) $29.00
By W. John McGuire

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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 for ETFs (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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Investment Company Sales Literature and Advertising (44 pp) $29.00
By Philip H. Newman

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

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

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Electronic Communications and Social Media Use by Mutual Funds (14 pp) $29.00
By Alexander C. Gavis

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

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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 (26 pp) $29.00
By Marguerite C. Bateman

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Shareholder Meetings and Shareholder Voting (22 pp) $29.00
By Kristin H. Ives

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An Institutional Equity Trade (6 pp) $29.00
By Stephen J. Shenkenberg

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Limitations on Investment Activities (16 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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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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Transactions Involving Affiliates (10 pp) $29.00
By Thomas S. Harman

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SEC Task Force Training: Affiliated/Cross/Principal Transactions (8 pp) $29.00
By Thomas S. Harman

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5% Tests (6 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 Mutual Funds, 2013-2014 (12 pp) $29.00
By Christian J. Mixter

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Derivatives and Investment Companies (22 pp) $29.00
By Alison M. Fuller, Esquire

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Board Oversight of Derivatives (58 pp) $39.00
By Karen L. Skidmore

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Derivatives Use in U.S. Mutual Funds (8 pp) $29.00
By Karen L. Skidmore

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Commodity Pool Regulation of Registered Funds and Their Advisers: The New Age of Dual Regulation (72 pp) $39.00
By Ruth S. Epstein

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Commodity Pool Operator Regulation of 1940 Act Funds and Their Advisers-PPT-supplemental material (4 pp) $29.00
By Ruth S. Epstein

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Mutual Fund Distribution-PPT-supplemental material (16 pp) $29.00
By Stephen J. Shenkenberg

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An Institutional Equity Trade Diagram-PPT-supplemental material (6 pp) $29.00
By Stephen J. Shenkenberg

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Table of Contents (14 pp)