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Basics of Mutual Funds and Other Registered Investment Companies 2013
Chair(s):
Clifford E. Kirsch, Laurin Blumenthal Kleiman
Practice Area:
Corporate & Securities
Published:
Apr 2013
ISBN:
9781402419874
PLI Item #:
41441
CHB Spine #:
B2020
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Forming, Organizing and Operating a Mutual Fund: Legal and Practical Considerations (February 2013)
Chapter 2. Basics of Mutual Funds and Other Registered Investment Companies (April 24, 2013)
Chapter 3. Mutual Fund Anatomy (April 24, 2013)
Chapter 4. The Administrative History of Rule 12b-1 (April 2013)
Chapter 5. Different Distribution Methodologies for Open-End Funds
Chapter 6. List of Critical Glass-Steagall Act Cases
Chapter 7. ACA Insight: OCIE Chief Drills Down on Conflicts of Interest (November 5, 2012)
Chapter 8. ACA Insight: Everything You Need to Know About CFTC/NFA Registration (September 3, 2012)
Chapter 9. ACA Insight: Mutual Fund Adviser Charged with Document Production Failures (August 13, 2012)
Chapter 10. ACA Insight: An Inside Look at the SEC Enforcement Process (April 30, 2007)
Chapter 11. ACA Insight: An Inside Look at the Mock Audit Process (July 10, 2006)
Chapter 12. ACA Insight: Preparing for Your Next SEC Examination (August 22, 2005)
Chapter 13. SEC Speech: Remarks to the ALI CLE 2012 Conference on Investment Adviser Regulation: Legal and Compliance Forum on Institutional Advisory Services by Norm Champ, Director, Division of Investment Management, U.S. Securities and Exchange Commission (Decembe
Chapter 14. Speech by SEC Staff: Remarks at the Ccoutreach National Seminar by Carlo V. Di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission (February 8, 2011)
Chapter 15. Speech by SEC Staff: Remarks at the Ccoutreach National Seminar by Carlo V. Di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission (January 26, 2010)
Chapter 16. Office of Compliance Inspections and Examinations, Investment Adviser Examinations: Core Initial Request for Information (November 2008)
Chapter 17. Excessive Fee Litigation and the Investment Company Act of 1940
Chapter 18. Recent Developments in Shareholder Derivative Litigation Involving Investment Companies
Chapter 19. Excerpt: 2012 Investment Company Fact Book: Chapter Two: Recent Mutual Fund Trends, Chapter Three: Exchange-Traded Funds and Chapter Four: Closed-End Funds
Chapter 20. Current Trends and Developments (PowerPoint Slides)
Index
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