Investment Company Regulation and Compliance: ALI-ABA Course of Study MaterialsAmerican Law Institute-American Bar Association Committee on Continuing Professional Education, 2000 - Mutual funds |
Contents
Definition of an Investment Company | 25 |
Fund Offering Documents | 41 |
Selling the Funds Shares | 67 |
Copyright | |
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2000 Investment Company advertising affiliated person ALI-ABA Course amended annuity contracts approval asset value board of directors broker broker-dealer brokerage client Company Act Release company's corporation counsel demand feature disclose disclosure distribution exemption Federated Investors feeder fund fees filing Form N-1A fund of funds fund shares fund's income Independent Directors insurance company insurance products interest investment adviser Investment Company Act Investment Company Regulation Investment Management investors issued issuer JANOFSKY & WALKER material money market fund mutual fund NASD net asset value no-action offer payments permit policies portfolio principal underwriter procedures proposal prospectus proxy purchase pursuant redemption registered investment company registration statement Regulation and Compliance risk Rule sales charges sales literature sales load SEC staff Section separate account shareholders soft dollar specific Study 2000 Investment subadviser transactions unaffiliated fund underlying fund unit investment trusts variable annuity variable insurance variable life insurance WALKER LLP