Investment Company Regulation and Compliance: ALI-ABA Course of Study MaterialsAmerican Law Institute-American Bar Association Committee on Continuing Professional Education, 2003 - Mutual funds |
Contents
PROGRAM xi | 7 |
FACULTY PARTICIPANTS XV | 11 |
Fund Offering Documents | 51 |
Copyright | |
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adopted advertisements adviser's Advisers Act affiliated person ALI-ABA Course amended annual applicable assets board of directors broker broker-dealer brokerage business trust clients Commission Company Act Release consent corporation custodian disclose disclosure distribution dividends documents electronic exemptive expenses federal Federated Investors feeder fund fees filing Form N-1A fund shares fund-of-funds fund's income independent directors investment adviser Investment Company Act Investment Company Institute Investment Company Regulation Investment Management investors issued issuer Item JANOFSKY & WALKER Massachusetts business trust master fund material money market fund mutual fund NASD Newman officer performance permit Philip H policies and procedures portfolio manager principal underwriter programs proposed prospectus proxy purchase pursuant records registered investment company registration statement sales charges sales literature sales load Sarbanes-Oxley Act SEC's Section shareholders soft dollar specific sub-adviser trading transactions Trust instrument underlying fund unit investment trust valuation WALKER LLP