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ABCs of Mutual Funds 2009
Chair(s):
Laurin Blumenthal Kleiman, Clifford E. Kirsch
Practice Area:
Banking and finance,
Financial services,
Investment companies,
Mutual funds
Published:
Jun 2009
i
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ISBN:
9781402412363
PLI Item #:
18809
CHB Spine #:
B1744
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Table of Contents
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Front Matter
Table of Contents
Chapter 1. Forming, Organizing and Operating a Mutual Fund—Legal and Practical Considerations
Chapter 2. Pricing and Valuation of Mutual Fund Shares
Chapter 3. Distribution of Mutual Fund Shares
Chapter 4. Mutual Fund Disclosure
Chapter 5. The Fund Board of Directors and the Fund’s Relationship with the Adviser
Chapter 6. Compliance Issues—The SEC’s Examination Program Panel Agenda
Chapter 7. U.S. Securities and Exchange Commission Speech by SEC Staff: “Compliance in Today’s Environment: Step Up to the Challenge”—Remarks Before the IA Compliance Best Practices Summit 2009 by Lori A. Richards
Chapter 8. U.S. Securities and Exchange Commission Speech by SEC Staff: “Compliance Through Crisis: Focus Areas for SEC Examiners and Compliance Professionals by Lori A. Richards
Chapter 9. U.S. Securities and Exchange Commission Sample Request Letter
Chapter 10. Recent Regulatory and Industry Developments
Chapter 11. The SEC’s Examination Program
Faculty Bios
Index
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