Investment Company Regulation and Compliance: ALI-ABA Course of Study MaterialsAmerican Law Institute-American Bar Association Committee on Continuing Professional Education, 2008 - Mutual funds |
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Page 188
... electronic delivery in early 1995. It was first asked by counsel for a brokerage firm to provide no - action guidance on how brokers might deliver confirming prospectuses to customers in electronic format . The SEC's no - action ...
... electronic delivery in early 1995. It was first asked by counsel for a brokerage firm to provide no - action guidance on how brokers might deliver confirming prospectuses to customers in electronic format . The SEC's no - action ...
Page 189
... electronic format . ( a ) The release provided several examples of methods that could be used to satisfy this requirement , including the receipt of an informed consent from an investor to receive the electronic information through a ...
... electronic format . ( a ) The release provided several examples of methods that could be used to satisfy this requirement , including the receipt of an informed consent from an investor to receive the electronic information through a ...
Page 192
... electronic delivery of documents to investors if the investors did not affirmatively object when notified of the issuer's or intermediary's intention to delivery documents in electronic form . ( 2 ) The 2000 Release rejected the implied ...
... electronic delivery of documents to investors if the investors did not affirmatively object when notified of the issuer's or intermediary's intention to delivery documents in electronic form . ( 2 ) The 2000 Release rejected the implied ...
Contents
Overview of Regulation of Investment Companies | 1 |
Legal Considerations in Forming a Mutual Fund | 7 |
Investment Company Structures | 33 |
Copyright | |
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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