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Mutual Funds Today:
Current Issues and Regulatory Developments
in Investment Management

Purchase this digital coursebook for: $295.00 Add to Cart

Coursebook Papers:

Overview of Regulation of Investment Companies (6 pp) $29.00
By Thomas S. Harman

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Boards of Directors of Registered Investment Companies (46 pp) $29.00
By Philip H. Newman

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The Board's Role in Connection with Valuation and Liquidity (14 pp) $29.00
By Marguerite C. Bateman

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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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SEC Release No. 1C-17452: Resale of Restricted Securities; Changes to Method of Determining Holding Period of Restricted Securities Under Rules 144 and 145 (20 pp) $29.00
By Karen L. Skidmore

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Valuation of Portfolio Securities and other Assets Held by Registered Investment Companies - Select Bibliography of the Division of Investment Management (20 pp) $29.00
By Karen L. Skidmore

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Electronic Communications and Social Media (16 pp) $29.00
By Alexander C. Gavis

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Investment Company Sales Literature and Advertising (46 pp) $29.00
By Philip H. Newman

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FINRA Regulatory Notice 15-16: FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public (20 pp) $29.00
By Karen L. Skidmore

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FINRA Regulatory Notice 15-17: Guidance on Rules Governing Communications With the Public (14 pp) $29.00
By Karen L. Skidmore

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The Guide to Social Media and the Securities Laws (24 pp) $29.00
By Karen L. Skidmore

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A Short History of Social Media (4 pp) $29.00
By Karen L. Skidmore

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

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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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Commodity Pool Operator Regulation of Registered Funds and Their Advisers: The New Age of Dual Regulation (86 pp) $39.00
By Ruth S. Epstein

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Exchange-Traded Funds (34 pp) $29.00
By W. John McGuire

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What's on the Horizon? Reading the Tea Leaves on the Future of Fund Regulation (10 pp) $29.00
By Ruth S. Epstein

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Derivatives and Investment Companies (24 pp) $29.00
By Alison M. Fuller, Esquire

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Solidifying a Case for Liquid Alternatives (8 pp) $29.00
By Karen L. Skidmore

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Luncheon Speech: The 75th Anniversary of the Investment Company Act and Investment Advisers Act (6 pp) $29.00
By Martin E. Lybecker, Esquire

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Mutual Fund Distribution (48 pp) $29.00
By Thomas S. Harman

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

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Retirement Products and Related Regulatory Issues (10 pp) $29.00
By Lawrence P. Stadulis, Esquire

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Department of Labor Fiduciary Rule Proposal (14 pp) $29.00
By Daniel R. Kleinman

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The Future of Fund Regulation Brand New On The Horizon (14 pp) $29.00
By Ruth S. Epstein

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SEC Proposes Liquidity Risk Management Rules for Open-End Funds (10 pp) $29.00
By W. John McGuire

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