Investment Company Regulation and Compliance: ALI-ABA Course of Study MaterialsAmerican Law Institute-American Bar Association Committee on Continuing Professional Education, 2008 - Mutual funds |
Contents
Overview of Regulation of Investment Companies | 1 |
Legal Considerations in Forming a Mutual Fund | 7 |
Investment Company Structures | 33 |
Copyright | |
33 other sections not shown
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Common terms and phrases
accounts advertisements adviser's Advisers Act advisory contract ALI-ABA Course allocation amendments approval assets audit board of directors broker broker-dealers brokerage clients Commission Company Act Release compliance program corporation custodian derivatives determine disclose disclosure documents effective electronic exemptive fair value federal feeder fund fees fiduciary filed FINRA firms Form N-1A fund shares fund's Goodwin Procter implement independent directors investment adviser Investment Company Act Investment Company Institute Investment Company Regulation investors issuer issues Item Massachusetts business trust material money laundering mutual fund NASD performance period Philip H policies and procedures portfolio manager principal underwriter proposed prospectus proxy purchase records registered investment company registration statement Regulation and Compliance responsible risks Rule sales charges sales literature sales load Sarbanes-Oxley Act SEC staff SEC's Section service providers shareholders soft dollar specific trading transactions Trust instrument unit investment trust valuation violations voting