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Investment Management Institute 2001
Chair(s):
Barry P. Barbash, Paul F. Roye, Joel H. Goldberg
Practice Area:
Banking, Corporate & Securities
Published:
May 2001
i
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ISBN:
0872249670
PLI Item #:
3799
CHB Spine #:
B1250
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Front Matter
Table of Contents
Chapter 1. KEYNOTE ADDRESS OF PAUL ROYE: MUTUAL FUNDS AND INVESTMENT MANAGEMENT
Chapter 2. FINAL RULE: DISCLOSURE OF MUTUAL FUND AFTER-TAX RETURNS
Chapter 3. FINAL RULE: INVESTMENT COMPANY NAMES
Chapter 4. FINAL RULE: ROLE OF INDEPENDENT DIRECTORS OF INVESTMENT COMPANIES
Chapter 5. FINAL RULE: PRIVACY OF CONSUMER FINANCIAL INFORMATION (REGULATION S-P)
Chapter 6. RESPONSES TO QUESTIONS ABOUT REGULATION S-P
Chapter 7. IS AN ISSUER AN INVESTMENT COMPANY?
Chapter 8. INADVERTENT INVESTMENT COMPANIES: RELIEF PURSUANT TO SECTIONS 3(b)(2) AND 6(c) OF THE INVESTMENT COMPANY ACT OF 1940
Chapter 9. REGULATORY AGENDA OF THE SECURITIES AND EXCHANGE COMMISSION FOR VARIABLE ANNUITY CONTRACT AND VARIABLE LIFE INSURANCE, RELATED SEPARATE ACCOUNTS AND UNDERLYING MUTUAL FUNDS
Chapter 10. VARIABLE CONTRACT SUBSTITUTING: A CHANGING LANDSCAPE
Chapter 11. INSURANCE PRODUCTS: UNDERLYING FUND ISSUES
Chapter 12. SPEECH BY RICHARD H. WALKER: REGULATION FD - AN ENFORCEMENT PERSPECTIVE
Chapter 13. DIVISION OF CORPORATION FINANCE: MANUAL OF PUBLICLY AVAILABLE TELEPHONE INTERPRETATIONS (DECEMBER 2000)
Chapter 14. INVESTMENT ADVISER CODES OF ETHICS
Chapter 15. SECTION 206(3): TIME FOR CHANGE - PROPOSING NEW EXCEPTIONS TO THE PRINCIPAL-TRANSACTION RESTRICTION
Chapter 16. BEST EXECUTION ISSUES
Chapter 17. REGULATION OF INVESTMENT ADVISERS BY THE SECURITIES AND EXCHANGE COMMISSION [FNa1]
Chapter 18. RECENT DEVELOPMENTS IN LITIGATION UNDER THE INVESTMENT COMPANY ACT OF 1940
Chapter 19. RECENT CASES
Chapter 20. DISCLOSURE OF MUTUAL FUND AFTER-TAX RETURNS
Chapter 21. FUND GOVERNANCE DISCLOSURE: EXISTING REQUIREMENTS AND THE SEC'S RECENT AMENDMENTS
Chapter 22. INVESTMENT COMPANY NAMES: RULE 35D-1 AND TRUTH IN LABELING
Chapter 23. PRESS RELEASE ANNOUNCING THE PUBLIC RELEASE OF THE REPORT ON MUTUAL FUND FEES AND EXPENSES
Chapter 24. SUPPLEMENTARY NEWS MATERIAL: REPORT ON MUTUAL FUND FEES AND EXPENSES: SUMMARY, MAJOR FINDINGS, MAJOR RECOMMENDATIONS
Chapter 25. THE "INTRODUCTION AND EXECUTIVE SUMMARY" FROM THE REPORT ON MUTUAL FUND FEES AND EXPENSES
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