Mutual Funds and Exchange Traded Funds Regulation (Third Edition)

Front Matter
Dedication
About the Editor
About the Contributors
Table of Chapters
Table of Contents
Preface
Part I. Fund Formation and Structure
Chapter 1. Introduction to Mutual Funds
Chapter 1A. A History and Overview of Mutual Fund Regulation
Chapter 1B. Forming, Organizing, and Operating a Mutual Fund: Legal and Practical Considerations; and Appendix 1B-A
Chapter 2. Fund Formation
Chapter 2A. Fund Names
Chapter 3. Capital Structure
Part II. REGISTRATION AND DISCLOSURE
Chapter 4. Prospectus Disclosure and Delivery Requirements
Chapter 5. Shareholder Reports; and Appendix 5A
Chapter 5A. Form N-PORT
Part III. REGULATION OF THE ADVISER AND THE FUND PORTFOLIO
Chapter 6. Regulation of the Advisory Contract
Chapter 7. Regulation of Advisory Fees
Chapter 8. Restrictions on Investments
Chapter 8A. Derivatives Activities
Chapter 9. Effecting Trades
Chapter 10. Custody of Mutual Fund Assets
Chapter 11. Proxy Voting
Chapter 12. Protection Against Conflicts of Interest
Chapter 13. Personal Trading Activities
Chapter 13A. Liquidity Risk Management Programs and Swing Pricing
Chapter 13B. Introduction to ESG Investing
Part IV. CORPORATE GOVERNANCE
Chapter 14. Board Structure and Processes
Chapter 15. Shareholder Voting
Part V. FUND ADMINISTRATION
Chapter 16. Purchase and Sales of Mutual Fund Shares
Chapter 17. Redemption Fee Rule
Chapter 18. Valuation; and Appendix 18A
Part VI. MARKETING AND DISTRIBUTION
Chapter 19. Marketing Material
Chapter 19A. The Regulation of Electronic Advertising, Marketing, and Socializing by Mutual Funds
Chapter 20. Distribution; and Appendices 20A-20B
Chapter 21. Distributing Mutual Funds Through Intermediaries: Practical Considerations Concerning Distribution Through Broker-Dealers, Fund Supermarkets and Retirement Plans
Chapter 21A. The Electronic Distribution of Mutual Funds
Chapter 22. 12b-1 Plan; and Appendix 22A
Chapter 23. Regulation of Mutual Fund Sales Practices
Part VII. COMPLIANCE, INSPECTIONS, AND RECORD KEEPING
Chapter 24. SEC Record-Keeping Requirements; and Appendix 24A
Chapter 25. SEC Inspections
Chapter 26. Investment Adviser Compliance Programs
Chapter 27. Conducting an Investment Company/Adviser Compliance Review; and Appendices 27A-27B
Chapter 28. The Role of the Investment Company Chief Compliance Officer
Chapter 29. Compliance Calendars
Part VIII. TAX AND ACCOUNTING
Chapter 30. Mutual Fund Taxation
Chapter 31. Mutual Fund Accounting and Financial Reporting; and Appendix 31A
Part IX. EXCHANGE TRADED FUNDS AND OTHER TYPES OF REGISTERED INVESTMENT COMPANIES
Chapter 32. Money Market Funds
Chapter 33. Closed-End Investment Companies; and Appendix 33A
Chapter 34. An Overview of the Formation and Operation of Exchange-Traded Products
Chapter 35. Exchange-Traded Funds
Chapter 35A. Interval Funds
Chapter 35B. Liquid Alternative Funds
Chapter 35C. Business Development Companies
Part X. OTHER REGULATIONS
Chapter 36. Commodity Pool Operator Status and Regulation
Chapter 37. ERISA Issues for Mutual Fund Advisers
Chapter 38. The Sarbanes-Oxley Act
Chapter 39. Mutual Fund Anti-Money Laundering Rules
Chapter 40. Treasury and Related Reporting
Part XI. SPECIAL TOPICS
Chapter 41. Fund Reorganizations; and Appendices 41A-41B
Chapter 42. Mutual Fund Use of Sub-Advisers
Chapter 43. Litigation Under the Investment Company Act of 1940; and Appendix 43A
Chapter 44. The Mutual Fund Market Timing and Late Trading Scandal of 2003; and Appendices 44A-44E
Chapter 45. Investment Management M&A
Table of Authorities
Index