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Investment Management Institute 2006: Meeting the Challenge of a New Regulatory Regime
Chair(s):
Barry P. Barbash, Paul F. Roye
Practice Area:
Banking and finance,
Corporate law,
Securities and other financial products
Published:
Apr 2006
i
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ISBN:
1402407386
PLI Item #:
8419
CHB Spine #:
B1539
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Front Matter
Table of Contents
Chapter 1. SEC Proposed Interpretation; Request for Comment: Commission Guidance Regarding Client Commission Practices Under Section 28(E) of the Securities Exchange Act of 1934, Release No. 34-52635; File No. S7-09-05, October 19, 2005
Chapter 2. SEC Final Rule: Certain Broker-Dealers Deemed not to be Investment Advisers, Release No. 34-51523; Ia-2376; File No. S7-25-99, April 12, 2005
Chapter 3. SEC Final Rule; Request for Additional Comment: Mutual Fund Redemption Fees, Release No. IC-26782; File No. S7-11-04, March 11, 2005
Chapter 4. SEC Proposed Rule; Reopening of Comment Period and Supplemental Request for Comment: Point of Sale Disclosure Requirements and Confirmation Requirements for Transactions in Mutual Funds, College Savings Plans, and Certain Other Securities; and Amendments to the Registration Form for Mutual Funds, Release Nos. 33-8544; 34-51274; IC-26778; File No. S7-06-04, March 9, 2005
Chapter 5. Consolidation and Divestiture: Recent Trends in Asset Management Mergers and Acquisitions, The Investment Lawyer, Vol. 12, No. 11, November, 2005
Chapter 6. Reinforcing the Mutual Fund Infrastructure: Protecting Investors for the Next Sixty Years, PowerPoint Presentation
Chapter 7. Hedge Fund Adviser Compliance: SEC Division of Investment Management Issues Response to ABA Letter on New Rules and Rule Amendments Affecting Hedge Fund Advisers
Chapter 8. Prospects for Disclosure Reform for Separate Accounts and Underlying Mutual Funds and Current Disclosure Issues, 2006
Chapter 9. Rule 22c-2: Issues and Impact on Variable Insurance Products and Underlying Mutual Funds, 2006
Chapter 10. Proposed Nasd Rule 2821: A Controversial Proposal Regulating Variable Annuity Sales Practices, 2006
Chapter 11. “Solely Incidental to”: Certain Issues Under Investment Advisers Act Rule 202(A)(11)-1, Outline, 2006
Chapter 12. SEC Final Rule; Extension of Compliance Date: Certain Broker-Dealers Deemed not to be Investment Advisers, Extension of Compliance Date, Release Nos. 34-52407; IA-2426; File No. S7-25-99, September 12, 2005
Chapter 13. SEC Final Rule: Certain Broker-Dealers Deemed Not to Be Investment Advisers, Release No. 34-51523; IA-2376; File No. S7-25-99, April 12, 2005 (Repetition of Chapter 2)
Chapter 14. No-Action Letter Under Investment Adviser Act of 1940 — Section 202(A)(11)(C) and Rule 202(A)(11)-1 from SEC Associate Director, Division of Investment Management, December 16, 2005
Chapter 15. No-Action Letter Under Investment Advisers Act of 1940 — Rule 202(a)(11)-1 — Applicability to Persons Associated with a Broker-Dealer Exercising Investment Discretion for Related Accounts, Response of the Office of Chief Counsel, November 17, 2005
Chapter 16. No-Action Letter Under Investment Advisers Act of 1940 — Rule 202(a)(11)-1 — Applicability to Persons Associated with a Broker-Dealer Exercising Investment Discretion for Related Accounts from Steven W. Stone, November 2, 2005
Chapter 17. No-Action Letter Under Investment Advisers Act of 1940 — Rule 202(a)(11)-1 — Application of Rule to a Broker-Dealer’s Exercise of Investment Discretion Over Cash Management Accounts from SEC Associate Director, Division of Investment Management, September 29, 2005
Chapter 18. No-Action Letter Under Investment Advisers Act of 1940 — Rule 202(a)(11)-1 — Cash Management from James D. Price, August 25, 2005
Chapter 19. 529 Plan and 401(K) Advice by Brokers, Letter to Sec Chairman from Daniel B. Moisand, January 12, 2006
Chapter 20. Speech by SEC Staff: Remarks before the Funds Forum by Gene A. Gohlke, November 14, 2005
Chapter 21. Speech by SEC Staff: Remarks before the National Society of Compliance Professionals National Membership Meeting by Lori Richards, October 25, 2005
Chapter 22. Speech by SEC Staff: Remarks before the Greater Cincinnati Mutual Fund Association Director’s Workshop by Lori Richards, September 22, 2005
Chapter 23. Speech by SEC Staff: Managed Funds Association Educational Seminar Series 2005: Practical Guidance for Hedge Fund Ccos Under the SEC’s New Regulatory Framework by Gene Gohlke, May 5, 2005
Chapter 24. Speech by SEC Staff: Compliance: Some Core Principles by Lori Richards, April 20, 2005
Chapter 25. Recent SEC Enforcement Cases: Mutual Funds and Investment Advisers, February 3, 2006
Chapter 26. Recent Developments in Litigation Under the Investment Company Act of 1940, January 31, 2006
Chapter 27. Selected Professional Responsibility Issues
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